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FS Energy and Power Fund - Investor Alert

Gregory B. Simon Law, LLC is investigating investor claims related to purchases of FS Energy and Power Fund (“FSEP”). FSEP is a non-traded business development company that invests primarily in the debt of private U.S. energy and power companies. Read More
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United States Oil Fund (Symbol: USO) – Investor Alert

Many brokerage firms have failed to heed warnings that oil exchange traded funds (“ETFs”), which are designed to track the price of crude oil, may not be appropriate for inexperienced retail investors. Analysts have warned against individuals own… Read More
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Margin Loan Risks and Market Volatility

The rapid return of volatility to the stock market has increased the need for investors to understand the risks of margin use in their brokerage accounts. Read More
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Categories: News & Updates

STEADFAST APARTMENT REIT – INVESTOR ALERT

Gregory B. Simon Law, LLC is investigating investor claims related to purchases of Steadfast Apartment REIT, Steadfast Apartment REIT III, and Steadfast Income REIT – three non-traded Real Estate Investment Trusts (“REITs”). Read More
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SEC Adopts New Broker-Dealer Standard of Conduct

The SEC recently adopted Regulation Best Interest which establishes a “best interest” standard of conduct for broker-dealers and financial advisors when recommending any securities transaction or investment strategy to a retail customer. Read More
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Categories: News & Updates

Lorenzo v. SEC - Securities Fraud Liability Update

In the matter of Lorenzo v. SEC, the U.S. Supreme Court held that liability under Rule 10b-5(a) and (c) of the Securities Exchange Act of 1934 may be imposed even where the defendants are not the actual “maker” of the alleged misleading statement… Read More
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Categories: News & Updates

GPB Capital Holdings - Investor Alert

GPB Capital Holdings, with 1.8 billion in investor funds, has stopped raising investor money while it seeks to straighten out issues related to the accounting and financial statements of two of its biggest funds. Read More
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Recruiting Bonuses Increased to Entice Brokers

While some of the largest brokerage firms have recently curtailed their recruiting efforts including the use of large bonuses to lure financial advisors to their firms, certain firms have taken an opposite approach. Read More
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Categories: News & Updates

FINRA Releases 2019 Exam Priorities Letter

FINRA recently released its 2019 FINRA Risk Monitoring and Examination Priorities Letter which describes areas that brokerage firms should consider as they identify opportunities to improve their compliance, supervisory and risk management programs. Read More
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Categories: News & Updates

Tips For Choosing a Securities Attorney

Before an investor initiates arbitration, the investor must decide whether he or she will retain an attorney to assist with the matter. As most investors only have one opportunity to pursue a claim, the decision to retain an attorney is a critical. Read More
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Categories: News & Updates

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