Securities Law

Omission of Facts in Securities Regulation

Investors often rely on the information provided by financial advisors or brokers before purchasing a stock, security or committing to an investment strategy. After all, these individuals are legally required to disclose all relevant facts about a financial product or opportunity so that clients can make sound investment decisions.  Unfortunately, some brokers intentionally misrepresent or …

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What is a Breach of Fiduciary Duty?

When a breach of fiduciary duty happens, it can be costly and devastating to those affected. That is why it’s essential for the party owed the protection of the fiduciary relationship to understand who can be held liable for the damages caused by a breach of duty.  In this article, we will cover the elements …

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