RESOURCES
- Legal Duties of Stockbrokers; Variable Annuities/Fised Index Annuities
- Case Eval.; Arbitration; Control Person Liab.; Atty’s fees; Damages
- Churning Analysis; ” 6 year rule”; Margin
- Due Diligence Defined; Time and Price Discretion; Record Retention
- Suitability; Exception Reports; Supervision; Diversification; Junk Bonds
- No Statute of Limitations in CA Arbs; Fiduciary Duties to a Qual. Trust; Glossary
- Understanding Hedge Funds; Employment Dispute Resources; Avoiding
- Pitfalls of IRS Section 72(t); Increasing the $15K complaint reporting limit
- Disclosure Requirements for Priv. Placement Offerings; Class B Mutual Funds
- Madoff Scheme Revisited; Arbitration v Court; Expert Quests.; Fiduciary Standard
- A Checklist for the “Reasonable” Due Diligence “The Scorecard”
- THE CHALLENGE OF DUE DILIGENCE OF A VARIABLE ANNUITY – The Score Card Method
- The Importance of an Investment Policy Statement
- AAA Executive Final Award – Expert Witness – Mason Alan Dinehart III, RFC
- Helpful CA Court Decision denying statutes of Limitations “Mason Dinehart Expert Witness”
- Winning Well Managed Account Theory Damages for investors using the FINRA forum
- Regulation Best Interest: The Broker-Dealer Standard of Conduct