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What is a security?

A security is a form of ownership in an entity.While some believe that in order to be a security the instrument must be traded on a  market, the legal definition of […]

What is Securities Arbitration?

What is Securities Arbitration?

Arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers […]

Promises of Indestructible Wealth

Promises of Indestructible Wealth

According to the SEC’s complaint,  Online videos designed to attract investors to attend investment seminars were posted with such titles as “Finances God’s Way” or “Indestructible Wealth” which encouraged retirees […]