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Austin Investor Wins $2.8 Million in
Arbitration on Claims Under
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Oil & Gas Securities Fraud
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Brokers, Beware the Bonus Trap
EFL Cases – Defenses and Counterclaims
Alternative Dispute Resolution
Drafting an Arbitration Clause
For Trustees – A Word to the Wise
Securities Laws Protect Even Sophisticated Investors
For Investors in Texas Reg D Offerings: What if That Exempt Security Isn’t Exempt?
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Will everyone know my financial affairs and how much money I lost?
Mutual Fund B Shares: Good or Bad?
Variable Annuities: When Are They The Right Choice?
How might employee stock options be managed?
Hedge Funds: What are they and are they right for me?
What if I don’t understand my investments?
What is Arbitration?
How Your Account Is Coded Is Critical
When may margin be appropriate?
What is unauthorized trading?
How can mutual funds be just as risky as stocks?
Tips on How to Avoid Stockbroker and Investment Fraud
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Austin, Texas Investor Wins $2.8 Million in Arbitration
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Practice Areas
Suitability
False or Misleading Statements & Omissions
Unsuitable or Excessive Margin
Churning
Unauthorized Trading
Mutual Fund Fraud
Selling Away
Conversion/Theft of Funds
A Broker’s Failure to Follow Your Directions
Over-Concentration
Oil & Gas Securities Fraud
Stockbroker and Investment Adviser Employment Practice
Representing Brokers and Advisers Before FINRA, the SEC, and State Regulators
Alternative Dispute Resolution
For Trustees – A Word to the Wise
Securities Laws Protect Even Sophisticated Investors
For Investors in Texas Reg D Offerings: What if That Exempt Security Isn’t Exempt?