Wall Street Fraud
Do I have a case?
Mutual Fund B shares
Category: Do I have a case?
My law firm is in the middle of negotiating a settlement involving an arbitration that was brought against a brokerage firm for selling an investor mutual fund B share. With mutual fund B shares, you do not pay an up-front commission, but you do have back-end surrender charges if you sell the mutual funds before the surrender fees terminate. You also pay a higher annual fee to the mutual fund company.
Are Your Stock Market Losses Someone Elses Fault?
Category: Do I have a case?
Most people are surprised to learn that they can actually sue their stockbroker or brokerage firm. Most people that call my law office tell me that they had not called before because they did not realize that the loses in their brokerage account could be their financial consultant's fault instead of just the stock market having gone down in value. The National Association of Securities Dealers and Securities and Exchange Commission have rules and regulations that require brokerage firms to only invest their clients in suitable investments.
Continue reading "Are Your Stock Market Losses Someone Elses Fault?"