A professional securities attorney who is pursuing claims on behalf of Woodbridge Ponzi scheme investors
FINRA Pre-Hearing Brief (Fictional Names)
FINRA Pre-Hearing Brief : CLAIMANT’S PRE-HEARING BRIEF. Claimant, Trusting Victim, (“Claimant” or “Claimant Victim”), by and through her undersigned counsel, hereby files this pre-hearing brief, wherein she states as follows: A. The Claimant is an elderly retiree. She resides in Trustworthy, Texas and Blue Lakes, Minnesota (depending on the season). Timid, frail, and risk-averse, Claimant […]
Tips And Pointers: Successfully Pursuing Stock Brokerage Firms In Connection With Investment Fraud Cases Filed In Court Or Through FINRA Arbitration
Brokerage Firms Can Be Held Responsible For The Sale Of “Bad Investments” Under the doctrine of “respondeat superior,” the negligence of an employee may be attributed to the employer. Numerous courts, along with the U.S. Securities and Exchange Commission (SEC), have held securities brokerage firms accountable for the negligence of an employee, provided the underlying […]
PRELIMINARY EXPERT WITNESS REPORT OF CHRISTOPHER J. BEBEL (Fictional Names)
Introduction I have been engaged by Claimants’ Law Firm, San Diego, California, in connection with the captioned matter. Pursuant to the aforementioned engagement, I have been asked to analyze and evaluate the facts and circumstances associated with this proceeding, and then articulate opinions with respect to pertinent topics, including issues involving registration requirements and supervisory obligations. The […]
PRELIMINARY EXPERT WITNESS REPORT OF CHRISTOPHER J. BEBEL (Fictional Names)
January 1, 2009 Introduction I have been engaged by Law Firm ABC in connection with the captioned matter. Pursuant to the aforementioned engagement, I have been asked to analyze and evaluate the facts and circumstances associated with this proceeding, and then articulate opinions with respect to pertinent topics, including the following: whether Prestigious Brokerage Firm […]
Investors Must Be Protected From Deception And Deceit As Well As From Incompetence And Carelessness: In Quantitative Terms, Stock Market Losses Emanating From Fraud Are As Painful As Those Which Stem From Negligence
There are over 600,000 registered stockbrokers (a/k/a financial advisors and financial consultants). With so many people holding the requisite licenses, it would not be fair to generalize and pretend that brokers are uniformly untrustworthy or less than forthright. Nor would it be prudent to suppose that all stockbrokers are experienced, astute financial professionals who always […]
Putting State And Federal Securities Laws To Work: Holding Stock Brokers Accountable When They Deceive Investors By Concealing Risks
Brilliant, energetic entrepreneurs have the capacity to build companies that create thousands of jobs – while simultaneously transforming entire industries. Importantly, however, they cannot even begin to accomplish their objectives unless they have access to the capital that is necessary to fuel their creative instincts. In many cases, a private offering of securities (a/k/a a […]
Brokerage Firms Must Continually Strive To Protect The Interests Of Their Customers By Exercising Diligence In Connection With The Supervision And Oversight Of Outside Business Activities And Private Securities Transactions.
Securities brokerage firms have an obligation to safeguard the interests of their customers. To accomplish that objective, those firms must diligently discharge their ongoing responsibility to closely supervise the activities of the stock brokers they employ. Along those lines, brokerage firms must, among other things, carefully inspect and analyze the incoming and outgoing letters, e-mails, […]