Investment Litigation Blog

“Recent Tools to Combat Financial Elder Abuse”: a closer look at mandatory and permissive conduct for Oregon securities professionals. Today, over 46 million Americans are 65 years of age or older. This accounts for nearly 15% of the population. According to the Population Reference Bureau, that number is projected to more than double by the…

Securities attorney Darlene Pasieczny will speak about FINRA expungement issues at the PIABA Mid-Year Meeting: Current Issues in Securities Arbitration. The panel presentation will be on April 4, 2019, in Washington DC. Presentation topics to include: Expungement of customer dispute information from a broker’s or brokerage firm’s CRD and Bro­kerCheck disclosure reports continues to be…

The securities attorneys at the Investor Defenders practice group of Samuels Yoelin Kantor LLP are investigating potential claims against this broker. Public records from the Financial Industry Regulatory Authority (FINRA) show that in August 2018, Daniel Noah Winger (CRD# 1542674) entered into an Acceptance, Waiver and Consent (“AWC”) agreement in which Winger was barred from…

The securities attorneys at the Investor Defenders practice group of Samuels Yoelin Kantor LLP are investigating potential claims against this broker. Public records from the Financial Industry Regulatory Authority (FINRA) show that Jamewon Jeewon Shin (CRD# 2436899) was suspended as of August 13, 2018, from associating with any FINRA member for failure to provide information…

Oregon has strong protections for investors against fraud with our state blue sky securities laws.  The Investor Defenders attorneys at Samuels Yoelin Kantor LLP have deep experience with litigating securities cases to recover investment losses cause by financial advisor misconduct. We also handle elder financial abuse claims. Sometimes those claims relate to securities, like a…

Did you know – most stockbrokers and registered investment advisors (RIAs) are not required by law to carry errors and omissions insurance? Beginning July 31, 2018, with an amendment to the Oregon Securities Law, Oregon became only state in the nation to require certain state-regulated financial professionals to carry errors and omissions insurance. These financial…

Current cryptocurrency regulation and cryptocurrency investment regulation can be summed up in one phrase:  Regulation by Enforcement. I moderated a great panel presentation this weekend on Cryptocurrency Investments, Supervision and Securities Regulation at PIABA’s mid-year CLE event in Los Angeles on May 5, 2018.  We discussed the current state of regulation as well as the…

Why mediate? What is mediation? Why do it in FINRA arbitration? Simply put, mediation is a voluntary process by which disputing parties agree to negotiate with a professional referee – a neutral mediator – to try to settle a dispute. Settlement means resolving a case before incurring further time, costs, and the risk of losing…

The news has been full of stories of investment losses. First, it was cryptocurrencies and related investments on a roller coaster ride of valuation. Then, in the last week, the major stock market indices followed… Dow Jones, S&P 500, Nasdaq… What is a Main Street investor to do? As a securities attorney representing investors in…

Ten Red Flags of Investment Fraud We’ve updated our list of ten red flags that  investors should be aware of: danger signs that point to potential mismanagement of an account or investment fraud by a financial advisor. These red flags are useful as you evaluate your own investments, review the investments of an elderly relative,…