Primer

Investors Primer

What is a Ponzi Scheme

A seclaw.com/glossary/ponzi-scheme/” class=”glossaryLink” data-cmtooltip=”

A <b>Ponzi scheme</b> is a fraudulent investment operation where the operator, an individual or organization, pays returns to its investors from new capital paid to the operators by new investors,(…)

” >Ponzi scheme is a fraudulent investment operation where the operator, an individual or organization, pays returns to its investors from new capital paid to the operators by new investors, rather than from profit earned by the operator. Operators of Ponzi schemes usually entice new investors by offering higher returns […]

Whistleblower independent analysis
Brokers Corp Finance Investors Primer Private Placements

Can a Non-Citizen Be An Accredited Investor?

There is no residency or citizenship requirement in the definition of an accredited investor. Many entities and individuals are accredited investors. Rule 501 of Regulation D defines the term. For individuals, accredited investors include: Any director, executive officer, or general partner of the issuer of the securities being offered or sold, or any director, executive officer, […]

Arbitration Primer

What is Securities Arbitration?

Securities 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 into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage […]

Securities, Lawyer, Attorney
Law Primer

What is Securities Law?

Securities law refers to the body of law that relates to the financial markets. That includes the oversight of stock brokers and investment advisers, the stock exchanges themselves, the brokerage firms, the sale of securities, mergers, acquisitions and much more. In short, if it in any way involves an investment […]

Arbitration Primer

Hearing Hearing 

Securities arbitrations, in fact, all arbitrations, are conducted in the same manner that a court trial is held, without some of the formalities. There are opening statements, first by the attorney for the claimant (typically a customer) and then by the respondents (the broker and/or his firm). The openings are […]