Securities Fraud Blog
Protecting Yourself from Unregistered Security Entities
As an investor, it’s important to protect yourself against investment scams and unregistered securities. At Rabin Kammerer Johnson, , we have experience in representing investors and other members of the public against securities brokerage firms, broker-dealers, and registered investment advisors which have mismanaged investor funds. If you are investing on your own, you also… Read More »
SEC Warns Investors to Watch Out for Potential Scams
The Securities and Exchange Commission regularly issues alerts on potential scams and fraudulent activities that investors should be mindful of. Some of these may target certain types of investors or funds, or in one case, someone may be pretending to work for the SEC itself. Here’s a look at some of the investor alerts… Read More »
Recovery Checklist for Investment Fraud Victims
Each year in the United States, a number of investors become unsuspecting victims of fraudulent investment schemes and various securities law violations. There are some instances where investors may be eligible to receive funds recovered from the fraudsters. There are a number of SEC protections that help investors, but not everyone will be able… Read More »
What to Know about Investing in Municipal Bonds
If you’re considering different investment options, municipal bonds may be a viable option. Municipal bonds can be worthwhile if you’re looking for tax-free income streams while preserving capital. What are Municipal Bonds? Often called “munis” for short, municipal bonds are issued by various government entities and U.S. territories. There are two varieties of municipal… Read More »
Blue Sky Laws and Financial Securities Fraud
The term “Blue Sky Laws” are state regulations that are designed to protect potential investors against securities fraud. They require sellers of new issues to register the offerings, along with providing applicable financial data, unless there is some sort of exemption. This helps give investors more peace of mind when it comes to investing… Read More »
I Inherited an IRA Account. Now What?
The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend. You have more options if you inherited the IRA account from your spouse. If you inherited an IRA from your spouse, you can: Treat… Read More »
SEC Whistleblower Program is Gaining Momentum and Paying Big Bounties
On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million. The whistleblowers’ awards were for helping the SEC pursue an investment scheme. One whistleblower gave the SEC the initial information that launched the SEC investigation. That whistleblower will receive more than $4… Read More »
What is the Process for a Court to Appoint a Receiver for an LLC?
In any action where a party has asserted a claim to dissolve an LLC, the court has the authority to appoint a receiver to wind up or liquidate the LLC. In order to appoint a receiver, the court must first hold a hearing after providing notice to all parties and interested persons designated by… Read More »
What are the pros and cons of taking a 401K loan?
Many employers provide 401k plans for their employees. A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account. Some, but not all, 401k plans permit employees to take out a loan against the… Read More »
When Will a Member or Shareholder Be Liable for Company Debts?
We have previously posted about a member’s exposure for the debts of an LLC. We thought it also would be useful to discuss additional situations when a member or a shareholder will be liable for the LLC’s or corporation’s obligations. Florida courts, like many other U.S. jurisdictions, recognize a doctrine often called “piercing the corporate… Read More »
