DON’T BE A VICTIM OF BROKER MISCONDUCT

Howard M. Rosenfield, an Investment Fraud Attorney located in Farmington, Connecticut, and Boca Raton, Florida, helps investors throughout the U.S. who have suffered financial losses due to broker misconduct through arbitration and mediation proceedings before FINRA, and the American Arbitration Association (AAA). Attorney Rosenfield emphasizes that broker misconduct may include the recommendation of investments that […]

Read More…

YOU TOO CAN RECOVER FROM ADVISOR MISCONDUCT

Howard M. Rosenfield, an Investment Fraud Attorney located in Farmington, Connecticut, and Boca Raton, Florida, helps investors throughout the U.S. to recover financial losses due to financial advisor misconduct through arbitration and mediation proceedings before FINRA, JAMS, and the American Arbitration Association (AAA). Attorney Rosenfield emphasizes that financial services misconduct may include the recommendation of […]

Read More…

INVESTMENT LOSSES AND FINANCIAL ADVISOR WRONGDOING

Will Rogers supposedly said, “It’s easy to make money in the stock market; buy a stock when it’s down, and sell it when it goes up. And if it doesn’t go up, don’t buy it!” We still get a chuckle from this because we all know that the market fluctuates in value. The task before […]

Read More…

INVESTOR ALERT – ANNUITY EXCHANGE ABUSE

FINRA and its predecessor, The National Association of Securities Dealers, has undertaken various enforcement actions to alert the brokerage industry and the investing public that generally, the exchange or replacement of Insurance or Annuity contracts is NOT a good idea. The reasons include the following:     New charges may be imposed with the new contract, or […]

Read More…

YOU MAY HAVE A TARGET ON YOUR BACK

Why Variable Annuities May Not Be For You       You are being targeted by your friendly insurance/securities broker.  As you may be aware, financial misconduct is one of the fastest growing industries in our country.  While brokerage firms pretend that investor protection and fair dealing with customers is the “foundation” of the securities industry, abuses […]

Read More…

VARIABLE ANNUITIES: THE SECONDHAND SMOKE OF INVESTMENTS

A well-known Investment Advisor recently called Variable Annuities the ‘cigarettes of the investment world.” What apparently is meant by the quote is that Variable Annuities may be toxic to your financial health. Why? Because the promises made by the sellers of these products are too good to be true. And what are those promises? Here […]

Read More…

SEC IMPOSES SANCTIONS UPON WELLS FARGO ADVISORS

The Securities and Exchange Commission recently imposed sanctions including monetary penalties for breach of ‘insider trading’ activity rules and procedures. Wells Fargo Advisors LLC admitted that despite their policies and procedures which prohibit their financial advisors and representatives from using nonpublic ‘inside information’,  that supervision at Wells Fargo Advisors failed to sufficiently investigate red flags […]

Read More…

MARCUS DEBAISE: A FORMER WELLS FARGO ADVISOR

If you have suffered investment losses with stockbroker Marcus DeBaise of Glastonbury, CT, you may be able to recover some of those losses through FINRA Arbitration! The Law Office of Howard Rosenfield recently filed a FINRA Arbitration claim against Wells Fargo Advisors (formerly Wachovia Securities) alleging that its representative, Marcus J. DeBaise (CRD# 2404266) over […]

Read More…

ATTENTION LPL INVESTORS

Did you recently receive a ‘Remediation’ offer from LPL in the mail? Would you like a free conference call with an Attorney regarding your investment recovery options? LPL recently settled charges with state regulators that they engaged in improper sales to their elderly customers. Please call toll-free for your FREE conference call to explore your […]

Read More…

FINRA ARBITRATOR: LITTLE SHOP OF HORRORS

Investors who are seeking restitution for losses caused by a broker or brokerage firms negligence or fraud are generally unable to go to Court.  They must arbitrate their claims under FINRA rules with FINRA arbitrators.  While FINRA’s process was generally conceded to be “rough justice” any attorneys who regularly appear before these panels have more […]

Read More…