As the saying goes, “if it sounds too good to be true, it usually is.” While it is hard to pass up a great deal, the reality is that some of these good deals are far from just that. When it comes to making an investment, this could result in serious detriments for...
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Altoona Securities Law Blog
Points to consider when selecting a broker
When you start investing in the stock market, you will want to retain a broker. Regular brokers interact directly with you, while broker-resellers act as intermediates between you and a larger broker. In either case, there are some points to consider when choosing a...
Understanding ERISA Regulations
Many workers in Pennsylvania are familiar with ERISA laws protecting employees who work for companies that provide perks like retirement plans, health insurance and pensions. The Employee Retirement Security Act and includes the laws that set minimum standards for...
What is ERISA and how does it protect workers?
The Employee Retirement Income Security Act (ERISA) is an important protection for workers’ retirement and pensions. For that reason, workers should be familiar with how ERISA works. How can ERISA help protect a worker’s pension or retirement? ERISA provides insurance...
Beware of fraudulent financial statements
When you’re determining what types of stocks to invest in, you might turn to a company’s financial statements to help guide your decision. However, some unethical companies may manipulate their financial information, giving you a less than complete picture of a...
New rules from FINRA designed to protect elderly people
Pennsylvanians who trust financial firms with their money and investments rely on the Financial Industry Regulatory Authority (FINRA) to protect them from possible misdeeds committed by the companies and people who work there. Although many are aboveboard with their...
Common ERISA violations that hurt Pennsylvania workers
Everyone deserves to be paid for the work that they perform. Unfortunately, many workers suffer wage-related harm from their employers when they are subject to violations of the Employee Retirement Income Security Act, also known as ERISA. When an ERISA violation...
Insider trading is not a victimless offense
Insider trading is, basically, using one’s access to privileged information as a means of making money at other’s expense. More specifically, an investor engages in insider trading when she uses business or financial information that is not available to the general...
Broker suspended and fined for settling customer complaint
Because it is difficult to take dive right into an investment opportunity, many individuals in Pennsylvania and elsewhere will use a financial advisor to guide them through the process and discuss with them what options they have. Taking this step causes a person more...
SEC: Fraudulent PA operation raised nearly $500M from investors
A smart investment can be a good way to shore up retirement savings or provide some extra financial security. Considering the sums of money often involved, this requires real trust. You must believe the money will be used for the stated purpose, and that the risks...
