• Estate Planning
  
  
• Probate and Trust Administration
  
  
• Securities Litigation/Arbitration
  
  
• Broker-Dealer Compliance
  
  
• Registered Investment Adviser/RIA
  
  
• Financial Adviser Defense
  
  
• Corporate/Business Law
  
  
• Employment Law
  
  

Securities Litigation/Arbitration

Follow these tips to proactively sentinel your accounts:

 

(1) Review each statement immediately, brokerage and banking (ID theft is rampant and you could get stuck with the bill if over 30 days);

 

(2) Test the waters: do something in your account like a small trade, exchange, withdrawal, etc. (consider tax ramifications first) and watch the mail for a confirmation in 3 to 4 days;

 

(3) call a “third-party” such as the broker-dealer back office or mutual fund or annuity custodian (someone other than your personal advisor) to verify your account info and positions.  Bernie Made-Off with investor’s savings because he controlled everything, from trades to statements to communications, so don’t be afraid to find out who else is watching the store.