by wittenberglaw | Feb 3, 2014 | investment News
The other day the Securities and Exchange Commission (SEC) released information wherein it identified deficiencies with many investment advisors due diligence procedures in relation to selecting alternative investments for their clients. Those of us like Wittenberg...
by wittenberglaw | Jan 14, 2014 | investment News
Thanks to Darla Mercado, author of the article “Fine print on older contracts leaves elderly clients in position of losing death benefits,” published in the InvestmentNews, customers who purchased variable annuities may have another strong piece of...
by wittenberglaw | Dec 12, 2013 | investment News
We know that all people are susceptible to investment fraud. We have seen celebrities, atheletes, artists, doctors, lawyers, teachers, bus drivers, police, firefighters, etc. lose their savings when folks that they trusted turned out to be not trustworthy. Today,...
by wittenberglaw | Dec 11, 2013 | investment News
Congress, through the Securities and Exchange Commission (SEC), has repealed a ban on general advertising of securities promoted by issuers who rely on a exemption to the rule requiring them to seek SEC review of their offering disclosures. “I’m certain...
