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How Can I Investigate The Background Of A Broker?

Attorney Jeffrey P. Coleman shows where to perform a background check on a broker before committing to doing business with one. Video Transcript: If you want to take a look at some of the background of a broker, a good thing to do is go on what’s publicly available through FINRA. FINRA …

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My Investments Were Not Right For Me. What Should I Be Looking For?

Attorney Jeffrey P. Coleman explains what investment criteria is the most important and what a person should look for when considering buying an investment. Video Transcript: You know, investment choices have to be made based upon suitability. That means that the investments that are recommended to you, have to meet …

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Why Are The Account Documents So Important When Investing?

Attorney Jeffrey P. Coleman describes why obtaining your account documents is important when keeping your investments on track. Video Transcript: The account documents are a road map for your account. It’s how the broker (or financial adviser)’s manager makes sure that whats done in your account complies with what you told …

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What Do I Do If I Am A Victim Of Financial Fraud?

Attorney Jeffrey P. Coleman outlines a few methods to recover from suffering from financial fraud. Video Transcript: There’s a number of opportunities for recovery and redress that victims of financial fraud might have. First of all, if there is a senior citizen involved, you might consider going to the Division of …

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My Broker Said My Mutual Fund Was Rated Triple A or Five Star: What Does That Mean?

Credit ratings are used as indicators of a bond’s creditworthiness by rating organizations, who analyze the financial condition of a bond issuer. There are three major rating organizations in the United States that provide such ratings: Moody’s Investors Service, Standard & Poor’s Corporation, and Fitch Ratings. Using labels such as …

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Can My Broker Buy Or Sell Something Without Asking Me First?

Attorney Jeffrey P. Coleman explains when a broker may (or may not) buy or sell on your behalf. Video Transcript: When a broker buys something without your authorization, he is violating one of the most basic rules in the brokerage industry. It’s your money. If you have not authorized that …

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NEW INVESTMENT PRODUCTS IN CLASSIC SCHEMES

Just before the holidays, the State of Florida Office of Financial Regulation issued a Press Release describing what they believe are the new products in classic schemes identified as top emerging threats for investors in 2015. According to OFR Commissioner Drew J. Breakspear, we are seeing classic investor threats morph …

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FINRA has issued a new INVESTOR ALERT!

Most of us are at least somewhat familiar with mutual fund terms like: Small Cap Funds Large Cap Funds Index Funds Bond Funds Most mutual funds contain the name of the investment company that is managing the fund (Franklin Templeton, Fidelity, Vanguard, for example only and NOT recommendation) with a …

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Five Challenges Firms Should Address Highlighted in 10th Anniversary Letter

FINRA Releases (January 6, 2015) Regulatory A EXAM PRIORITIES LETTER Five Challenges Firms Should Address Highlighted in 10th Anniversary Letter Richard G. Ketchum, FINRA’s Chairman and CEO admitted that in the decade since publishing the first exam priorities letter, there have been tremendous changes in broker-dealer operations, the markets and …

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