LENDRUM LAW FIRM, A.P.C.
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Securities Law Archives

Knowledge of the opposition is how we help investment victims

Intelligence about the opposition is a powerful tool. World governments rely on spies to gather the information needed to assess potential threats to national security. Pro teams make a point of reviewing game films to see what they did wrong and how other teams handle certain situations. The same applies to the practice of business law and perhaps particularly in the area of securities law.

How can I avoid falling victim to an investment scam?

Ben Franklin is credited with saying, "An ounce of prevention is worth a pound of cure." Whether he came up with the phrase himself or retooled one that he picked up from another source is something we may never know. That doesn't diminish the value of the adage, however.

Federal regulators renew warnings about pension advance deals

The attraction of apparent ready money in the face of mounting financial pressure can lead people to make decisions they otherwise probably would not. Perhaps one of the best examples of this phenomenon in practice can be seen in the existence of so-called pension advance companies.

Supreme Court ruling's effect on investor class action suits TBD

The U.S. Supreme Court wrapped up its session for the year on Monday. As is typically the case, there was a flurry of decisions issued in the final weeks. Included on the list was one that came down June 22 and which practitioners in securities law are surely still mulling over. As is also fairly typical in such instances, there doesn't seem to be any clear consensus about exactly what effect the decision will have on cases going forward.

To avoid shock waves from retiree rollover boom, use caution

A Bloomberg article that just hit the wires this week sheds light on phenomenon that San Diego readers may be only somewhat familiar with. It's called America's retirement rollover boom -- the growing practice of people shifting their 401(k) funds into other plans such as individual retirement accounts as they leave the workforce and enter retirement.

Regulators renew cautions about possible marijuana stock fraud

Marijuana is clearly gaining a reputation as a growth industry in the United States. Laws allowing the use of medical marijuana are on the books in California and are popping up across the country. In two states, laws allow a certain level of recreational use of the drug.

Escondido developer to be sentenced in $50M fraud scheme

Generating passive income is typically a key objective of any investment plan. Active investors look for ways to put their money to work so that it earns interest and produces revenues. Even through the rough times of the recent recession, real estate was the option many exercised to achieve their passive income objectives.

Ameriprise ordered to repay couple $1.17M for bad investments

An elderly California couple is slated to receive $1.17 million from Ameriprise Financial Services Inc. The money has been ordered paid by an arbitration panel of the Financial Industry Regulatory Authority -- Wall Street's self-funded regulatory body.

FINRA steps back from expanding oversight to investment advisers

The investment realm is a complicated place. There are a lot of players involved in a lot of activities. As we have learned from recent experience involving mortgage-backed derivatives, sometimes the players don't even know what they're up to. Is it any wonder that regulators find it hard to exercise some measure of control to protect investors against financial fraud?

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