Almost four years after Wites & Kapetan obtained a judgment against Brookstreet Securities Corporation, and its CEO and Founder, Stanley C. Brooks, the SEC did the same. In July 2008, Marc A. Wites represented Judy Schulman, a Boca Raton resident, … Continue reading →
Most stockbrokers and investment advisers are paid based on a percentage of the value of trades of the investments in your portfolio. (This does not apply to brokers who trade “managed accounts” or who are paid based on the total … Continue reading →
“Normal” in this market, or is it your broker’s responsibility? Due to the strained economy over the past few years, investors have come to expect periodic – or even regular – decreases in the values of their investments. However, not … Continue reading →
This article is the first in a series of postings that will address issues or “red flags” that may suggest that your broker or investment advisor may be legally responsible for losses in your investment portfolio. Red Flag: You were … Continue reading →
“Risk tolerance” refers to your comfort level with the level of risk associated with investments in your portfolio. Some people cringe at the thought of investing in anything which does not result in a guaranteed rate of return, no matter … Continue reading →