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
Today the North American Securities Administrators Association (NASAA) announced a massive LPL Financial settlement with state securities regulators relating to over a decade of sales
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 disputes with the financial industry, down markets mean my phone starts ringing. Investors start to look closely at their portfolios.
Some find surprises. Potential claims against their financial advisor to recover investment losses.