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The Ongoing Need To Safeguard the Financial Interests of Investors Who Have Entrusted Stock Brokers and Financial Advisers with Their Life Savings: Detecting and Preventing Fraud So As To Protect Customers and Preserve the Integrity of the Financial Markets

Stock brokers and financial consultants who engage in lying, cheating, and stealing can score immense profits in the short term.  Hefty sums can be pocketed relatively quickly by shifty financial advisers who promise the world, and then shamelessly deliver toxic financial sludge.  But, sooner or later, the hammer will come down on dishonest, fly-by-night financial […]

By |October 30th, 2017|Uncategorized|0 Comments

Statements Made To Investors Must Be Accurate and Complete: An Overview of Basic Securities Fraud Principles, Rules, and Standards

The U.S. Securities and Exchange Commission has consistently made it clear that brokerage firms and the stock brokers they employ cannot recommend the purchase of a particular stock unless they have a reasonable basis for making that recommendation.  And, generally speaking, a reasonable basis will stem from a due diligence, reasonable investigation examination and analysis […]

By |October 5th, 2017|Uncategorized|0 Comments

Dishonest Stock Brokers Who Fraudulently Sell Stock In Private Offerings Can Pocket Large Commissions, But Investors May Hold Them Accountable Under State And Federal Securities Law

Hundreds of billions of dollars have been raised in recent years through the sale of securities in private offerings, which are also known as private placements.  Without a doubt, private offerings of restricted stock can provide young, thriving businesses with the essential capital they need to finance the construction of new plants and facilitate the […]

By |September 25th, 2017|Uncategorized|1 Comment

Investors Who Have Sustained Losses In The Financial Markets Must Exercise Diligence While Selecting A Securities Law Attorney

The mix of disbelief, anger, and depression that often develops in the wake of major financial losses can be very unsettling.  Propelled by those dynamics, many investors will eventually begin taking steps to retain legal counsel.  Given the ever-increasing level of complexity that accompanies the vast number of niche areas and specialty fields in which […]

By |September 1st, 2017|Uncategorized|0 Comments

Investor Rights: Financial Fraud & Investment Fraud

The Wide Net Cast By State And Federal Securities Laws: Pyramid Schemes


Over the years, pyramid schemes have been the source of undue misery and disillusionment.  All-too-often, they have served as a vehicle for promoting fraud and deceit; scores of forthright, trusting investors have fallen prey to the dishonest features thereof.  A typical pyramid scheme is […]

By |July 21st, 2017|Uncategorized|0 Comments

Have You Invested In An Unregistered Security?

By the time he reached his 30s, William John Howey was an accomplished, self-made man, with an impressive resume that featured sales of insurance, automobiles, land, and produce in places as varied as Illinois, Oklahoma, Kansas City, Mexico, and Florida.  Beginning in 1908, Howey merged two of his endeavors — land development and citrus growing […]

By |April 4th, 2017|Uncategorized|0 Comments

Protecting Elderly Investors From Fraud: Brokerage Firms And Securities Industry Professionals Must Take Extra Steps To Protect The Savings Of Senior Citizens

According to the Financial Industry Regulatory Authority (“FINRA”), the number of Americans who have retired or are growing close to the point of retirement is rapidly expanding.  The population segment comprised of those who are 65 or older is expected to nearly double in size within the years ahead.  By 2030, almost 20% of all […]

By |July 19th, 2016|Uncategorized|0 Comments

Letter Opinion, Judgment, And Findings Of Fact And Conclusions Of Law: Second State District Court Case That Proceeded To Trial

Our most recent blog posting addressed allegations made on behalf of investors in connection with a proceeding based in State District Court, Brown County, Texas. This blog follows up on that posting; it discusses the “Letter Opinion” the trial court issued after the trial came to a conclusion. Additionally, it provides a brief overview of […]

By |June 30th, 2016|Uncategorized|0 Comments

Allegations And Assertions Made In Connection With Second Case That Went To Trial: Texas Securities Act, Common Law Fraud, And Breach Of Contract

Recent blog postings have addressed appellate arguments we have advanced in connection with a case that went to trial in State District Court, Lubbock County, Texas.  This blog posting focuses on a case that was similar in many respects; it proceeded to trial in State District Court, Brown County, Texas.  In both instances, we were […]

By |June 27th, 2016|Uncategorized|0 Comments

Summary Of The “Verdict,” The Judgment, And The Amended Findings Of Fact And Conclusions Of Law Relating To State District Court Trial, Lubbock, Texas

Two blogs were recently posted regarding an investment fraud case that proceeded to trial in Texas State District Court, the Honorable William Sowder presiding.  As a means of expanding on those postings, this blog has been constructed; it addresses the following: A) the “verdict” which was issued by Judge Sowder shortly after the trial concluded; […]

By |June 14th, 2016|Uncategorized|0 Comments