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Review Our Library of Articles to Find the Investment Fraud Topic Relevant to You

At the law firm of Meyer Wilson, we regularly post articles on a wide range of investment fraud and broker misconduct topics.  View our library to find the article that is most relevant to your situation.

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  • Equity Index Annuities: Good for the Broker; Not so Good for the Client   
    Investors love equity indexed annuities. At least, until they purchase one. The promise of a "guaranteed minimum return" that is linked to a stock market index without the risk of loss is just too good to pass up. Unfortunately, many investors do not realize that this "promises" is a sales pitch, not a reality, until it is too late.
  • The Truth About Financial Designations Revealed   
    What do those financial credentials really mean? According to the Wall Street Journal, there are well over a hundred designations being used by financial advisers. Read this article to learn more and contact an experienced securities fraud attorney if you have lost money.
  • Understand the Type of Annuity You Are Purchasing   
    Before you invest in any annuity, make sure you fully understand how it works. Read this article for more information and contact a securities arbitration attorney from our office for legal advice. If you believe you have lost money due to investment fraud or broker misconduct, be sure to order a FREE copy of the book, Five Signs of Investment Fraud…And What to Do if it's Happened to You.
  • Smart Tips for Hiring a Financial Advisor   
    Many people hire either the first person they interview or an advisor who has been referred to them by a family member, friend, co-worker or other acquaintance they trust. SmartMoney's Chuck Jaffe says this is a mistake: "His [the advisor's] spiel makes it sound like he can solve your problems, and you lack the know-how to tell if he can't and the comparison to any other adviser to establish how you truly feel about him. You have no clue if he is selling you a bill of goods, a one-size-fits-all plan that maximizes his take and minimizes your service, or if he truly is a cut above the other helpers in your area." If you interview multiple candidates, you can avoid these problems.
  • Investments in Limited Partnerships Can Be Complex & Risky   
    Investments in limited partnerships carry significant risks. These investment vehicles can result in substantial loss. For more information read this article. To speak with an experienced securities arbitration attorney, contact our office today.
  • Options for Investors Stuck in the Still-Frozen Auction Rate Securities Market   
  • Margin Investing Carries High Risks   
    Margin trading, also referred to as margin investing, is associated with high risks. To learn more, read this article and be sure to order a free copy of investment fraud attorney David Meyer’s book, Five Signs of Investment Fraud…And What to Do if it's Happened to You. If your broker failed to inform you of the risks of margin trading or if a margin account was opened without your permission, you may have a broker fraud claim.
  • Should You Trust Your Adviser's Credentials? Regulators Say: Maybe Not.   
  • Risks of Reverse Convertibles   
    Reverse convertibles carry many risks and may result in financial loss. Read this article to learn more and be sure to order your free copy of investment fraud attorney David Meyer’s book, Five Signs of Investment Fraud…And What to Do if it's Happened to You.
  • Don’t Make the Mistake of Believing Bond Funds Are Without Risk   
    Despite the common belief about bond funds, these investments are not without risk. Read this article to learn more and contact an experienced investment fraud attorney at our office for a free case evaluation. While you are on our website, be sure to order a free copy of attorney David Meyer’s book, Five Signs of Investment Fraud…And What to Do if it's Happened to You.
  • Due Diligence Key to Protecting Against Hedge Fund Fraud   
    With Madoff's scheme still heavy in mind and more examples of hedge fund fraud coming to light all the time, it is difficult to remember that legitimate hedge funds do exist. In fact, hedge funds can offer significant benefits to wealthy, sophisticated investors. However, due to the fact that hedge funds are private investment partnerships that are subject to minimal regulations and utilize complex investment strategies, they often carry a great deal of risk, including the risk of fraud. It is for this reason that conducting proper due diligence is absolutely necessary in order to protect oneself from fraud.
  • A Big Name Firm Doesn’t Mean Little Risk   
    Just because your investments are with a big name firm, doesn’t mean you should let your guard down. Investment fraud can happen when you least expect it. Read this article to learn more and learn the five signs of investment fraud by ordering our FREE book.
  • Stockbroker vs. Investment Adviser: Do You Really Know the Difference?   
    Do you know the difference between a stockbroker and investment adviser? If you are considering filing a claim for misconduct or investment fraud, you need to understand the distinction between the two. Read this article to learn more and contact an experienced investment fraud attorney for advice.
  • Seven Tips to Help Senior Investors Protect Their Investments   
    Senior investors are often the targets of investment scams. Read this article to learn tips on how to avoid becoming a victim. Order your free copy of investment fraud attorney David Meyer’s book, Five Signs of Investment Fraud…And What to Do if it's Happened to You.
  • FINRA Proposes Rule Change to Permit Arbitrator Referrals for Disciplinary Investigation During an Arbitration   
    The Financial Industry Regulatory Authority (FINRA) recently proposed a change to Rule 12104 of the Code of Arbitration Procedure for Customer Disputes which would broaden the arbitrators’ authority to make referrals to FINRA for disciplinary investigation during an arbitration proceeding.

    Under current FINRA rules, arbitrators may refer a case to FINRA for disciplinary investigation only at the conclusion of an arbitration. The proposal for mid-case referrals is designed to permit FINRA to detect and minimize fraudulent activity as early as possible and obtain evidence before it is lost.
  • Registration Requirements for Securities, Brokerage Firms & Investment Professionals   
    A registration violation could entitle you to recover your financial losses. Read this article to learn about the registration requirements for brokerage firms, investment professionals and securities. For a free case evaluation, contact an experienced securities arbitration attorney at our office. Also be sure to order the free book, Five Signs of Investment Fraud…And What to Do if it's Happened to You.
  • Is There Ever Really Such a Thing As a "Free Lunch"?   
    Is There Ever Really Such a Thing As a "Free Lunch"?
  • Annuities Have Been a Cause of Concern for Investors and Regulators   
    Variable annuities have become a major problem for many investors. Read this article to learn some of the issues associated with annuities and contact an experienced securities arbitration attorney at our office for a free consultation.
  • Retirees Often Suffer From The Misconduct Of Their Brokers   
    Retirees often suffer financial loss due to stockbroker misconduct. When an older investor loses money, it is typically far more detrimental. Read this article to learn more and to order a free copy of the book, Five Signs of Investment Fraud...And What to Do if it’s Happened to You.
  • When Your Broker Failed to Buy or Sell a Stock   
    If you have lost money because your broker failed to execute your order or refused to buy or sell a stock, you could have a broker misconduct claim. Read this article to learn more and contact an experienced stockbroker arbitration attorney at the law firm of Meyer Wilson for a free case evaluation.
  • Regulators Focus on Auction-Rate Securities   
    Prior to the recent financial crisis, auction-rate securities were often perceived by investors to be as safe and as liquid as cash. In February of 2008, however, that impression was shattered when the $330 billion U.S. auction-rate securities market collapsed.
  • Regulators Crack Down on Stranger-Originated Life Insurance (STOLI)   
    Between 2004 and 2008, brokers and insurance agents across the country sold billions of dollars worth of Stranger-Originated Life Insurance (STOLI) policies to senior citizens with the intention of reselling the policies to investors, according to a June 21 Wall Street Journal article.
  • Reducing Your Odds of Financial Loss Starts with Choosing the Right Investment Professional   
    Read this article for tips on choosing the right investment professional for your situation. If you have lost money due to broker misconduct or investment fraud, an experienced broker fraud lawyer at the law firm of David P. Meyer and Associates may be able to help you.
  • Excessive Trading Activity Claims: What Every Investor Needs to Know   
    Excessive trading by brokers is not permitted. Read this article to learn more and contact a broker fraud attorney at the law firm of David P. Meyer and Associates if you have lost money due to broker misconduct or investment fraud.
  • The Downside of Equity-Indexed Annuities   
    While equity-indexed annuities (EIA) do have a potential for a higher return, these investments are not always worth it. EIAs are associated with high fees and are so complex that people often don’t know what exactly they are purchasing. Read this article to learn more.
  • Recognizing Blue Sky Law Violations   
    Each state has its own blue sky law, which requires the registration of securities, sales, brokers, brokerage firms and more. Read this article to learn about blue sky law violations and what you have to prove to win your case. Contact an experienced investment fraud attorney at our law firm for a free case evaluation.
  • Survey Evaluates the Behavior of Older Investors In Relation to Risk   
    Read this article to learn about the findings from a survey of older investors and their propensity to risk. If you have been the victim of investment fraud, contact the law firm of Meyer Wilson for a free case evaluation. Our investment fraud lawyers may be able to help you with your claim.
  • Asset Allocation   
    Whether your investment portfolio contains stocks, bonds, or real estate, your financial advisor is responsible for a combination that is right for you, and to maintain your portfolio as the market changes.
  • Breach of Fiduciary Duty   
    “Fiduciary duty” is your broker’s responsibility as caretaker of your assets, including providing financial advice and reporting transactions that affect your portfolio.
  • Churning   
    Disreputable brokers may engage in churning, or making excessive trades with your assets to generate more commissions. Such activities are illegal. Here’s what you can do.
  • Excessive Activity   
    If you have experienced losses due to excessive activity, brokerage firms can be held accountable for any damage to your assets. Contact Meyer Wilson at 1-866-827-6537.
  • Failure to Execute   
    You gave an order to your broker, but he failed to carry it out—and your portfolio took a huge hit. This is called Failure to Execute—and if it happened to you, the brokerage firm may owe you for your losses.
  • Failure to Supervise   
    You put a lot of trust in your brokers’ knowledge. But if he wasn’t sufficiently trained or licensed, you could be awarded damages by the brokerage firm for your losses.
  • False Information   
    My broker manipulated me into buying a stock I wasn’t comfortable with. I now know this is called False Information Fraud. Who can I hold accountable, and what am I owed?
  • Fraud   
    Investment fraud is an all-too common occurrence. If your broker has stolen funds from you or your organization, he can be held accountable for securities fraud.
  • Hedge Fund Fraud   
    If you’re expecting a big return from a hedge fund that seems too good to be true, it probably is. Beware of brokers promising large profits on funds that require a significant initial investment.
  • Margin Trading   
    Margin Trading requires an investor to borrow a portion of the cost of a security from their brokerage firm. This promises high returns, but a bigger risk of losses.
  • Misrepresentation and/or Omissions   
    Brokers have a duty to disclose and communicate any information that may affect your portfolio. Misrepresentation or seemingly-innocent omissions could cost you thousands of dollars.
  • Mutual Fund Fraud   
    Shady stockbrokers often prey on the inexperience of their investors. If you have been influenced by a dishonest broker, contact Meyer Wilson at 1-866-827-6537.
  • Negligence   
    You put immense trust in a broker when you place your portfolio in his care. When something goes wrong, are you solely accountable or is your broker responsible?
  • Overconcentration   
    Overconcentration refers to a portfolio that is almost exclusively devoted to one area of investment, dramatically increasing the odds of losses. Your assets should be spread over a number of classes to ensure stability.
  • Ponzi and Pyramid Schemes   
    Investors must constantly be wary of fraudulent investments. Your broker should be able to detect such schemes and keep you—and your assets—far away from them.
  • Private Placements   
    placements are unregistered securities, meaning they operate outside the stock market. If you have been sold unregistered securities, you need the help of an investment fraud lawyer to recover your losses.
  • Subprime Litigation and Mortgage Scams   
  • Unauthorized Trading   
    Stockbrokers must have your permission before buying or selling your assets, even if their actions are in your best interest. Contact Meyer Wilson for a free case evaluation at 1-866-827-6537.
  • Undisclosed Conflicts of Interest   
    If your broker recommends a stock because he stands to gain from the sale, his conflict of interest has put his interests ahead of yours—and your assets on the line.
  • Unsuitability   
    You and your broker should be on the same page with your investment goals and risks. If your broker hasn’t made recommendations based on your current needs and future plans, you may be able to file a claim of Unsuitability.

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Securities Fraud Lawyer Explains that Brokerage Firms Have a Duty to Supervise Their BrokersSecurities Fraud Lawyer Explains that Brokerage Firms Have a Duty to Supervise Their Brokers
Investment Fraud Lawyer Discusses The Number One Question People Have When They Want To File A Claim Against Their BrokerInvestment Fraud Lawyer Discusses The Number One Question People Have When They Want To File A Claim Against Their Broker
Securities Fraud Attorney Advises That Brokerage Firms Owe Investors a Fiduciary Duty in Many JurisdictionsSecurities Fraud Attorney Advises That Brokerage Firms Owe Investors a Fiduciary Duty in Many Jurisdictions
Investment Misconduct Attorney Talks About the Overconcentration of Investment PortfoliosInvestment Misconduct Attorney Talks About the Overconcentration of Investment Portfolios
Investment Fraud Attorney Says Check Brokers' Licenses Before You Hire ThemInvestment Fraud Attorney Says Check Brokers' Licenses Before You Hire Them
Investment Fraud Atttorney Explains that Brokerage Firms Have a Duty to Supervise Their BrokersInvestment Fraud Atttorney Explains that Brokerage Firms Have a Duty to Supervise Their Brokers
Broker Misconduct Attorney Discusses Mandatory Arbitration And How It Relates To Your ClaimBroker Misconduct Attorney Discusses Mandatory Arbitration And How It Relates To Your Claim
Investment Fraud Attorney Discusses the Life Cycle of Securities Arbitration CasesInvestment Fraud Attorney Discusses the Life Cycle of Securities Arbitration Cases
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Securities Fraud Attorney Discusses Why It Is Important You Have An Experienced Attorney For Your Investment Misconduct CaseSecurities Fraud Attorney Discusses Why It Is Important You Have An Experienced Attorney For Your Investment Misconduct Case
Security Fraud Attorney Explains That Senior Citizens Are The Number One Target of Investment FraudSecurity Fraud Attorney Explains That Senior Citizens Are The Number One Target of Investment Fraud
Securities Fraud Lawyer Talks About the Arbitration Process - From Start to FinishSecurities Fraud Lawyer Talks About the Arbitration Process - From Start to Finish
Broker Fraud Attorney Offers Free Book With Tips On How To Avoid Becoming A Victim Of Investment FraudBroker Fraud Attorney Offers Free Book With Tips On How To Avoid Becoming A Victim Of Investment Fraud

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