Investment Fraud Lawyers

MLP Losses: When Broker Overconcentration May Be Negligence Table of Contents Toggle MLP Losses: When Broker Overconcentration May Be Negligence What Are MLPs and How Do They Work? The Income Appeal: Why Investors Buy MLPs How MLP Yields Compare The Hidden Risks of MLPs 1. Tax Complexity and K-1 Forms 2. Sector Concentration in Energy […]

Structured Notes: Hidden Risks Your Broker May Not Mention Table of Contents Toggle Structured Notes: Hidden Risks Your Broker May Not Mention What Are Structured Notes? How Structured Notes Work The Bond Component The Derivative Component The “Protection” Illusion Conditional Protection Limited Protection Windows Issuer Credit Risk Capped Upside: The Other Half of the Problem

Private Placement Fraud: Reg D Risks for Investors Table of Contents Toggle Private Placement Fraud: Reg D Risks for Investors What Are Private Placements? The Accredited Investor Requirement—and How It Gets Violated How Brokers Sell to Unqualified Investors Common Misrepresentations in Private Placement Offerings 1. Inflated Return Projections 2. Downplaying or Concealing Risk 3. Liquidity

Can You Appeal a FINRA Arbitration Decision? Your Options Table of Contents Toggle Can You Appeal a FINRA Arbitration Decision? Your Options The Finality of Arbitration Awards Federal Arbitration Act: Grounds for Vacating an Award 1. Corruption, Fraud, or Undue Means 2. Evident Partiality or Corruption in the Arbitrators 3. Arbitrators Exceeded Their Powers 4.

FINRA Arbitration Costs: Who Pays and Can You Recover Fees? Table of Contents Toggle FINRA Arbitration Costs: Who Pays and Can You Recover Fees? Filing Fees: The Cost to Start Your Case Session Fees: Paying for Hearing Time Arbitrator Compensation: What the Decision-Makers Charge Who Pays Arbitrator Fees? Attorney Fees: The Largest Cost Category Contingency