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Understanding the Basic Risks Associated With Oil and Gas Drilling Investments
Posted on Thursday, August 23, 2012 at 12:51 PM

Investors considering an oil and gas investment will be warned that oil and gas exploration is “speculative”.

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Guidelines to Improve Disclosure of Risk Benefit Both Financial Advisers and Their Clients
Posted on Thursday, July 5, 2012 at 12:50 PM

Risk disclosure is everywhere.  Yet, it seldom is complete or easy to understand.  

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SEC’s Complaint Against OptionsXpress Alleges Complex Trading Scheme Based Upon Some Simple Proofs
Posted on Wednesday, April 18, 2012 at 12:18 PM

The SEC (Securities and Exchange Commission) has instituted cease-and-desist proceedings against Chicago-based optionsXpress, a retail, online brokerage firm specializing in options and futures, as well as its chief financial officer and one of its retail customers. 

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Financial Advisers in Motion; A Primer On the Employment Issues Facing Those in Transition
Posted on Monday, April 9, 2012 at 12:17 PM

We often consult financial advisers who are transitioning their employment to a new firm.  Financial services attorneys need to be mindful of issues unique to employees in the financial services industry.  Let’s overview the key issues.

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SEC Issues Investor Alert and Underwriter Best Practices for the Issuance of Municipal Bonds
Posted on Monday, March 19, 2012 at 12:16 PM

The Securities and Exchange Commission (SEC) has issued investor and underwriter guidance with respect to municipal bonds.

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FINRA’s Amended Complaint Against Non-Traded REIT Promoter Underscores Risky Nature of Investment
Posted on Thursday, February 16, 2012 at 12:15 PM

Recently, the Financial Industry Regulatory Authority (FINRA) filed an amended disciplinary complaint against David Lerner Associates, Inc. (“DLA”) in connection with its recommendations and sales of Apple REIT Ten.

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Securities Regulators Focus On Complex Products To Better Protect Investors
Posted on Tuesday, January 31, 2012 at 12:14 PM

FINRA (the Financial Industry Regulatory Authority) has issued a warning to financial services firms that they need to heighten their supervision of and compliance procedures associated with complex products. 

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SEC’s Complaint Against Life Partners Underscores Senior Protection Issues With Life Settlements
Posted on Friday, January 6, 2012 at 12:12 PM

The Securities Exchange Commission (SEC) began 2012 by charging Life Partners Holdings Inc. and three of its senior executives for their “involvement in a fraudulent disclosure and accounting scheme.” 

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Securities Regulators Issue Risk Alert for Brokerage Firms to Conduct Effective Branch Office Supervisions
Posted on Tuesday, December 27, 2011 at 12:11 PM

FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”).  Republished by FINRA as Regulatory Notice 11-54, the Alert provides an excellent overview of the requirements for a brokerage firm’s supervision program, including information on developing effective policies and procedures for branch office inspections.

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Navigating the Uncertain Waters of Securities Arbitration In Order to Effectively Represent Your Client
Posted on Friday, October 14, 2011 at 12:10 PM

Lawyers confronted with the task of representing an investor or a financial adviser in securities arbitration quickly will realize that arbitration neither is like litigation nor an administrative hearing.  In the most basic sense, securities arbitration is a hybrid of the two. 

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