News and Resources | Jacobson Law P.A.

What Duties Do Brokers Owe To Their Customers?

August 22, 2014 | 0 Comments | in Articles | by Jon Jacobson

The specific duties that a broker owes to his or her customer will depend on a number of different factors, including the specific terms of the account agreement signed by the customer, the nature of the brokerage account opened by …

How to Choose a Securities Arbitration Attorney

August 22, 2014 | 0 Comments | in Articles | by Jon Jacobson

When choosing an attorney to represent you in an investment dispute, it is important that you look for someone who is knowledgeable and experienced regarding the securities laws, who is responsive to your needs no matter what they are, and …

Securities Arbitration Myths

August 22, 2014 | 0 Comments | in Articles | by Jon Jacobson

Myth No. 1: I can’t afford to file a securities arbitration — it is just too expensive. At Jacobson Law P.A., we take most of our cases on a contingency basis. That means that you won’t have to pay us …

Jacobson Law P.A. Investigating REITs Offered By American Realty Capital Properties (“ARCP”)

November 10, 2014 | 0 Comments | in Current Investigations | by Jon Jacobson

Jacobson Law P.A. is investigating claims on behalf of investors who invested in real estate investment trusts (“REITS”) offered by American Realty Capital Properties, Inc. (“ARCP”) or its affiliated companies through or on the advice of a broker or brokerage …

Jacobson Law P.A. Investigating Puerto Rico Municipal Bonds and Closed-End Bond Funds

October 28, 2014 | 0 Comments | in Current Investigations | by Jon Jacobson

Jacobson Law P.A. is investigating claims on behalf of investors who invested in Puerto Rico debt — including Puerto Rico municipal bonds and closed-end funds (“CEFs”) that invested in Puerto Rico municipal bonds — through UBS Puerto Rico (“UBS”), Santander …

SEC Approves New FINRA Rule to Allow Arbitrators to Immediately Report Fraud — Even in the Middle of an Arbitration

October 16, 2014 | 0 Comments | in Articles | by Jon Jacobson

SEC has finally approved FINRA’s proposed “mid-case referral rule,” which FINRA had been seeking since 2010. Allowing securities arbitrators to voice serious concerns in the middle of a case about possible frauds that could harm investors is a procedure that …

SEC Approves New FINRA Rules on Untraded REITs and DPPs

October 15, 2014 | 0 Comments | in Articles | by Jon Jacobson

The SEC has approved FINRA’s plan to overhaul how firms calculate the value of unlisted real estate investment trusts (“REITs”) and direct-participation programs (“DPPs”). Under the new rules — specifically NASD Rule 2340 and FINRA Rule 2310 — firms will …

Jacobson Law P.A. Investigating SWS Financial Services, Inc. for Improper Variable Annuity Sales

October 6, 2014 | 0 Comments | in Current Investigations | by Jon Jacobson

On September 29, 2014, the Financial Industry Regulatory Authority Inc.’s (“FINRA”) Department of Enforcement filed a formal complaint against SWS Financial Services Inc. (“SWS”) alleging that it approved numerous variable annuity application with no principal review for suitability (Disciplinary Proceeding …

Steps in the Arbitration Process

August 22, 2014 | 0 Comments | in Articles | by Jon Jacobson

Arbitration is a private method of dispute resolution in which the parties select the individual or individuals who will finally decide the matters at issue following a process agreed upon by the parties. There are five main stages to the …

Litigation vs. Arbitration vs. Mediation

August 22, 2014 | 0 Comments | in Articles | by Jon Jacobson

Parties in disputes have several options to try to resolve their disagreements (short of resorting to fisticuffs). In broad terms, they can either file a lawsuit in court, or they can pursue an alternative dispute resolution (“ADR”) method such as …