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Category: Investment Fraud

Jun 30, 2015 - Annuities by |

2014 Annuity Company Rankings

ATTORNEY NEWSLETTER LIMRA Secure Retirement Institute has released its individual annuity company ranking list for 2014, The ranking list reveals some trends, including strong competition among carriers in the fixed annuity sector. According to the data from LIMRA Secure Retirement Institute, Jackson National was the overall winner for combined selling […]

Red Flags of Investment and Securities Fraud

ATTORNEY NEWSLETTER Seniors are frequently victims of investment fraud, according to California securities fraud lawyers. The Securities and Exchange Commission’s Office of Investor Education and Advocacy provides some advice and basic rules about investment offers to avoid, and how to identify potentially fraudulent investment opportunities. Before choosing an investment, seniors […]

May 27, 2015 - Annuities Fraud by |

California Securities Fraud Lawyers Share New Financial Industry Regulatory Authority Guidelines

ATTORNEY NEWSLETTER The Financial Industry Regulatory Authority (FINRA) has announced tougher sanctions for those who commit fraud or make unsuitable recommendations to clients, as well as increased suspensions under the self-regulator’s suitability rules. The National Adjudicatory Council for Financial Industry Regulatory Authority, its appellate tribunal for disciplinary cases, released the […]

May 12, 2015 - Consumer fraud by |

Understanding Securities and FINRA Arbitration

ATTORNEY NEWSLETTER Arbitration is the most widely used form of conflict resolution in the securities industry, and the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the industry. The customer is nearly always bound by a customer agreement to resolve disputes through arbitration. San Francisco securities […]

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