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January 29, 2026

10 Examples of Unfair Trade Practices

When investors entrust their money to financial professionals, they expect honest dealings and compliance with industry regulations. Unfortunately, unfair trade practices continue to harm investors across the United States. These violations of securities laws and regulatory standards can result in […]

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January 23, 2026

$12 Billion Lawsuit Accuses Major Banks of Trust Fund Fraud

$12 Billion Lawsuit Accuses Major Banks of Trust Fund Fraud When an American heiress discovered over 300 boxes of financial documents hidden in a 400-year-old manor house, she uncovered what may become one of the most significant banking fraud cases […]

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January 22, 2026

What is Misrepresentation or Omission in Securities Sales?

Investors rely on accurate, complete information when making financial decisions. When brokers provide false information or fail to disclose material facts, they violate fundamental obligations and can cause significant financial harm. Understanding what constitutes misrepresentation or omission in securities sales […]

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January 15, 2026

What is Failure to Supervise Under FINRA Regulations?

Brokerage firms bear significant responsibility for monitoring their employees' conduct and ensuring compliance with securities regulations. When firms fail to maintain adequate supervisory systems or enforce their own procedures, investors can suffer substantial harm. Understanding what constitutes failure to supervise […]

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January 8, 2026

Do I Need a Lawyer for FINRA Arbitration?

Receiving notice of FINRA arbitration or considering filing a claim raises immediate questions about legal representation. While FINRA rules permit parties to represent themselves, the arbitration process involves complex procedures, evidentiary requirements, and strategic considerations. Understanding whether you need a […]

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January 3, 2026

Can I File a Claim for Unauthorized Trading or Breach of Fiduciary Duty?

Discovering that your broker has traded without permission or failed to act in your best interests raises immediate concerns about your legal options. Understanding whether you can file a claim for unauthorized trading or breach of fiduciary duty requires examining […]

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December 22, 2025

How Do I Know If I Have a Securities Fraud Case?

Investment losses can result from market volatility, poor timing, or legitimate business setbacks. However, some losses stem from broker misconduct, misrepresentation, or regulatory violations. Understanding whether you have a securities fraud case requires careful evaluation of the circumstances surrounding your […]

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December 15, 2025

What is Unauthorized Trading and How Is It Proven?

Maintaining control over your investment decisions is a fundamental right as an investor. When brokers execute trades without proper authorization, they violate securities regulations and breach the trust essential to the broker-client relationship. Understanding what is unauthorized trading and how […]

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December 1, 2025

What is Churning and How Do Investors Detect It?

Investment fraud takes many forms, but few are as insidious as excessive trading in client accounts. Understanding what is churning and learning to identify its warning signs can protect your financial future and help you recognize when broker misconduct may […]

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November 26, 2025

Are All Cryptocurrency Investments Regulated by the SEC?

Are All Cryptocurrency Investments Regulated by the SEC? Not all cryptocurrency investments fall under Securities and Exchange Commission oversight, but determining which digital assets are regulated remains one of the most complex questions in financial law today. At Weltz Law, […]

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