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Securities Fraud Blog

I Inherited an IRA Account. Now What?

By McCabe Rabin, P.A. |

The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend. You have more options if you inherited the IRA account from your spouse. If you inherited an IRA from your spouse, you can: Treat… Read More »

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SEC Whistleblower Program is Gaining Momentum and Paying Big Bounties

By McCabe Rabin, P.A. |

On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million. The whistleblowers’ awards were for helping the SEC pursue an investment scheme. One whistleblower gave the SEC the initial information that launched the SEC investigation. That whistleblower will receive more than $4… Read More »

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What is the Process for a Court to Appoint a Receiver for an LLC?

By McCabe Rabin, P.A. |

In any action where a party has asserted a claim to dissolve an LLC, the court has the authority to appoint a receiver to wind up or liquidate the LLC. In order to appoint a receiver, the court must first hold a hearing after providing notice to all parties and interested persons designated by… Read More »

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What are the pros and cons of taking a 401K loan?

By McCabe Rabin, P.A. |

Many employers provide 401k plans for their employees. A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account. Some, but not all, 401k plans permit employees to take out a loan against the… Read More »

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When Will a Member or Shareholder Be Liable for Company Debts?

By McCabe Rabin, P.A. |

We have previously posted about a member’s exposure for the debts of an LLC.  We thought it also would be useful to discuss additional situations when a member or a shareholder will be liable for the LLC’s or corporation’s obligations. Florida courts, like many other U.S. jurisdictions, recognize a doctrine often called “piercing the corporate… Read More »

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Alternative Investments: Be Careful!!!

By McCabe Rabin, P.A. |

As contingency fee lawyers, we evaluate a steady stream of potential securities fraud cases. We meet with investors of all ages and backgrounds who have been cheated, defrauded and tricked into making bogus investments. We evaluate far more cases than we agree to take. One of the most difficult types of cases that we… Read More »

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What Types of Misconduct Does FINRA Look For at Brokerage Firms?

By McCabe Rabin, P.A. |

FINRA has released its annual examination priorities letter. The letter identifies the specific areas FINRA will be focusing on when it conducts examinations of its member brokerage firms in the coming year. According to FINRA, the list is developed based on trends it has seen in the previous year, as well as concerns expressed… Read More »

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Tips for Protecting Your Investments

By McCabe Rabin, P.A. |

It’s your money. You worked hard to earn it. It’s taken years to save it. Now you need to protect it. Here are some tips to help you make more informed investment choices and protect yourself from investment scams. Check out the “salesperson.” Just because someone says they have a securities license doesn’t mean… Read More »

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What are the Differences Between FINRA Arbitration and Mediation?

By McCabe Rabin, P.A. |

When you open a brokerage account, you most always agree to bring any future disputes that arise with your stockbroker or brokerage firm to FINRA for adjudication. This means you give up your right to a jury trial. FINRA offers both arbitration and mediation services. In a nutshell, mediation is where a neutral third-party… Read More »

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Will Trump kill the new fiduciary rule?

By McCabe Rabin, P.A. |

In the wake of the recent presidential election, speculation abounds that President-elect Trump will kill the Department of Labor’s so-called fiduciary rule, set to take effect in April 2017. Wall Street hates the new rule, as it imposes significant obligations upon them when dealing with IRAs and other retirement accounts. Prior to the new… Read More »

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