Brokers Investors

Analysts Suits

Analysts take the heat for failing Internet Companies By Mark J. Astarita, Esq. With the burst of the “Internet Bubble” starting in April 2000, and running through the end of that year, investors lost an untold amount of money in the” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>stock market. While one can debate the size of […]

FAQ Investors Securities Law Dictionary

Who regulates the stock market in the US?

The stock market has many different regulators. The primary regulator is the Securities and Exchange Commission. The stock exchanges are governed by their own organizations, under the direction of the SEC.” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Stock brokers and brokerage firms are regulated by the Financial Industry Regulatory Authority (FINRA) which was formerly known as […]

FAQ Featured Articles Investors Primer Securities Law Dictionary

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 a security is much broader. The definition is important, because if the instrument is a security, then the federal and state securities laws apply to the purchase and sale of that instrument. We define and explain the different types of securities


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 to sell their existing securities holdings and invest in the created by the videos promoters.The SEC claims that the videos […]


ScammersUsing False Credentials to Attract Investors

In a recent blog post at The Securities Law Blog, I warned investors and brokers of the fraudulent use of FINRA’s Broker Check system by fraudsters to impersonate legitimate financial professionals. See, FINRA Admits BrokerCheck Being Used for Fraud. BrokerCheck, the publication of private, regulator-mandated information regarding financial professionals, has […]