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The attorneys at Eppenstein and Eppenstein, securities, commodities and hedge fund fraud lawyers, have extensive experience representing investors in actions against securities and commodities brokers and broker dealers. We have successfully recovered millions of dollars in assets for investors. We are qualified to represent your interests whether you are national or international investors or creditors in securities fraud and commodities fraud matters.

Eppenstein and Eppenstein is a respected New York-based securities fraud and commercial litigation law firm with a global practice, widely known nationally and in the international community for protecting the rights of defrauded investors and businesses, as well as for obtaining record-setting arbitration awards for our clients. The firm's Securities Law Arbitration website traces our 25 year history of successful representation of investors. Contact us today to discuss your potential claims.

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Stock Market Losses?: FINRA’s BrokerCheck Might Have Helped

October 31st, 2008 by Madelaine Eppenstein

For the many investors who have suffered catastrophic stock market losses this year, few would dispute that the failure of self-regulation by the financial services industry has played a significant role in precipitating the global economic crisis. Ironically, in the midst of this chaos the primary U.S. self regulator, FINRA, has been broadcasting advertisements for its BrokerCheck Web page on radio in the New York metropolitan area as a “service” to aggrieved investors. Read the rest of this entry »

Posted in Securities Arbitration & Litigation

“YieldPlus” Investment Woes for Seniors: The Schwab Short Term Bond Fund Meltdown

October 23rd, 2008 by Madelaine Eppenstein

The Charles Schwab Corp. YieldPlus Fund, a short term bond fund, turns out to be another failed vehicle employed by brokers to lure unsuspecting senior investors with conservative investment profiles into products that were made toxic by their exposure to the sub-prime mortgage market.  According to Bruce Kelly’s InvestmentNews item in the October 19 issue, from its $13 billion in assets a year and a half ago through earlier this month “the fund lost more than 30% of its value and saw its assets drop 95% to $432 million.”
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Posted in Securities Arbitration & Litigation

Stock Market Crash of 2008: Implications for Investors

October 17th, 2008 by Madelaine Eppenstein

Investor Alert: The stock market crash this year has taken its toll on the investing public. If you have lost a substantial portion of your life savings or your portfolio, including common stock, mutual funds, annuities, options or bonds, because of an unscrupulous broker who breaks the rules, a hedge fund, advisory firm or other investment company, you have the right as an investor to pursue relief. Read the rest of this entry »

Posted in Securities Arbitration & Litigation

When Will Self-Regulation Get It Right?

October 6th, 2008 by Madelaine Eppenstein

It began today, a day on which the Dow broke a new record for volatility: FINRA’s two-year “pilot program” permitting investors to effectively opt out of having mandatory industry arbitrators in a small proportion of cases relative to all filings.  It may be a gross understatement to say that the program is too little, too late.  FINRA has undertaken to study over a period of the next two years, more likely longer, the issue that investor advocates have complained about for decades: the fundamental unfairness of the SRO arbitration system, in which the public has been forced to adjudicate its claims, that requires an industry arbitrator on all three member panels.  The results will presumably enable FINRA to distill subjective conclusions about the “fairness” of it’s own system, possibly in time for the next presidential election four years hence.

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Posted in Securities Arbitration & Litigation