Securities Law Topics Archive

Hedge Funds - A Hedge Fund is an investment vehicle that is available to only the very wealthy investor. Typically a hedge fund is a private investment partnership with a limited number of investors and requires a substantial minimum investment...

Ponzi Schemes - Most people dream of becoming wealthy and realize that some form of investment may provide an opportunity to reach this goal. Unfortunately the drive for financial independence is often exploited by people who devise schemes to defraud people...

Stock Broker Negligence - Has a stock broker invested your money into a risky stock against your wishes? A stock broker is supposed to keep the investor's best interests at heart. Additionally, a broker must be aware of the investor's financial situation when handling their...

White Collar Crimes - In 1939, a professor by the name of Edwin Sutherland came up with term "white collar crime." A white collar crime involves a fraudulent crime that is commited by either a government or business professional. This type of fraudulent activity...

Unauthorized Trading - When a professional relationship with a stock broker is established, the client may give the stock broker written permission to use discretion when trading. However, if the client does not wish to do this, the stockbroker must get permission...

Stock Broker Misconduct - Stockbrokers are required to have their client's best interest in mind and to only recommend investments that are suitable for the clients. However, this is not always the case and some brokers do not meet this requirement and fail to live up to their professional...

Insider Trading - Insider trading is the practice of trading stock or securities held by a company by high-ranking members within the company. Insider trading is illegal when parties trade based upon material non-public information concerning a company that the party has explicit knowledge...

Stock Broker Fraud - Millions of dollars in stocks are traded in the stock market on a daily basis. Stock brokers are trusted to handle the transactions on your behalf and follow the rules and regulations of the Securities and Exchange Commission (SEC) to ensure fair trade and brokering. Sometimes...

Stock Broker Churning - In the world of stocks, bonds, and securities, the term churning is utilized as a distinct label for fraudulent activity or abuse of the stock market. Churning is the excessive buying and selling of securities. A broker or financial administrator must have full access and control of an account or portfolio to illegally...

Securities Fraud - When you put your trust and faith in an investment company, investment banking firm, or other private broker to handle your money and investments, you expect a high standard of quality and competence on their part to fulfill the services you...

Investment Fraud - Investment fraud can affect anyone who puts his or her faith in a financial professional, broker, or investment banker. When an individual wants to invest their his or her money, a financial professional should be trusted to sort our the different stocks and bonds possibilities...

Embezzlement - Embezzlement is the theft of funds or property belonging to another individual or entity. It is a crime separate from larceny because the accused party was entrusted with the assets and therefore had a right of possession. When the money/property is converted...

Breach of Fiduciary Duties - Fiduciary duties are created when a legal relationship between two or more parties is formed. The fiduciary is the party entrusted with protecting specified assets, i.e. money or property. It is this individual that is required to act in good faith...

Promissory Note Fraud - A promissory note is a type of debt that is similar to a loan or an IOU that a company may issue to raise money. Typically, an investor will agree to loan money to a company or institution for a determined period of time. In exchange, the borrowing company promises...

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