In an effort to enhance investor protections, the Securities and Exchange Commission (SEC) is proposing a new rule – Regulation Best Interest – that may come as a surprise to some investors. The SEC’s proposed rule requires your stockbroker to act in your best interest at the time he or she recommends an investment to […]

As it appeared on PRNewswire Suit Follows on $2.1 Million Award Obtained Against Madison Avenue Earlier This Year SAN DIEGO, April 18, 2018 /PRNewswire/ — Sanford Heisler Sharp, LLP has filed an arbitration claim with the Financial Industry Regulatory Authority (FINRA) against Madison Avenue Securities alleging the firm violated its basic duty to diligently supervise […]

As it appeared in The Atlanta Journal-Constitution By Michael E. Kanell – The Atlanta Journal-Constitution A suit filed in federal court against Home Depot charges that the hardware giant permitted mismanagement of retirement funds affecting more than 200,000 people and costing their accounts at least $140 million. The complaint against the $100 billion-a-year, Atlanta-based company […]

We want to share with you a disturbing tale we heard recently from an investor in a private investment fund. We share this to alert you to “red flags” that signal the high likelihood of investor fraud. If you can spot them, you can better protect yourself from financial predators. The enactment of the Dodd-Frank […]