Securities Law

“Churning” is the term used to describe a broker’s excessive trading of securities in a client’s account solely for the purpose of making commissions – not for the client’s benefit. It’s a violation of the broker’s fiduciary duty to their clients, and it’s against the...

Many people don't understand the ways in which online trading is regulated and others find that it is all too easy to make mistakes in the marketplace. Still others have actively sought to take advantage of this unique opportunity in ways that skirt the law. As a...

When an individual or a firm has been hired to invest on someone else’s behalf, they are expected to put that person’s best interests first. They’ve been hired because they are experts. They understand the market. They are supposed to use that expertise to get the...