Wall Street Investment Fraud Lawyer Blog

The Securities and Exchange Commission (SEC) has issued a warning to investors and financial service firms that there are con-artists claiming to be SEC employees seeking sensitive information to use to defraud. These fraudsters have tricked individuals into revealing private information and, in some cases, into sending money and other assets to the fraudster. Further, these con-artists have impersonated…

As outlined in The Retirement Challenge: Will you Sink or Swim?, co-authored by Jason Doss, You may find yourself in need to transfer assets from one qualified account (i.e. a 401(k)) into another qualified account (i.e. an IRA). When transferring assets from one qualified account to another, make sure that you elect a “trustee-to-trustee” transfer. In order to…