Securities

For lawyers, every case, its unique and complicated issues in court. However, there are a number of precedents to know when the enforcement of the customer as a result of an investigation for criminal fraud and related securities.

Before federal criminal investigation is conducted by the U.S. Attorney 's Office and the Jury, and may not be present at an investigation by the SEC.

As second in a criminal case, usually, customers can be reliedthe Fifth Amendment privilege against self-incrimination if his statement in SEC investigation and litigation. This can not reply to requests in terms of true discovery SEC.

Third Securities and Exchange Commission ("SEC") investigations are civil enforcement actions and can lead to a civil complaint, filed in Federal Court.

Although the fourth SEC enforcement suits are civil in nature and are usually due to protective measures, disgorgement ofill-gotten gains and civil money penalties.

Evidence obtained during the fifth SEC investigation or legal action can be used in criminal proceedings.

Sixth Declaration by a person during an investigation or the SEC during litigation with the SEC can be managed by the U.S. Attorney 's Office used for a prosecution.

The seventh SEC investigation does not automatically imply a criminal grand jury investigation.

You have the opportunity to eighth in the SEC investigationReasons why customers should not be sued by the SEC.

The ninth SEC investigation may also result in administrative, initiated a hearing before the administrative law judge of the SEC.

In its 10th SEC's administrative procedures sometimes seeks an order made by the customer operates in the field of securities as broker-dealers, promoters, or have other customers who Have stock prices, participated in an alleged scheme to deceive or Manipulate .

11The SEC can try, companies and board members to serve in this capacity with appeals based on cash a fraudulent scheme or a scheme to manipulate stock quantity.

12 ° The court can a receiver running a business that monitors the SEC sued for fraud or other prohibited conduct and activities that are used to pay expenses and / or investors may recover back.

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www.todaytrader.com. Day-Trading in shares is risky and difficult. Please consult your financial advisor before acting actively. Today Trader is not responsible for content that may appear on this channel. These videos are not meant to be forwarded recommendations on the markets. Day trading the shares remain a solid retail at least $ 25,000 and must be equal to or exceeding that level, the odds of being proactive. This site is not a solicitation to buy or sell securities,Options or futures. The purpose of this content is educational.

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The Securities and Exchange Commission is conducting a fraud investigation against Goldman Sachs’ business practices. Rebecca Jarvis reports.

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These commercials aired during the 1984 Olympics on ABC on July 30th and August 12th, 1984. These are from a 24 year old beta tape that my Aunt and Uncle recorded, so the quality isn’t the best. 1. Diet Coke (With Kim Carnes, Weird Al Yankovich, James Coco, Henry Thomas and probably some others) 2. Promo for “Hotel” (With James Brolin!) 3. Sears Craftsman Electronic Power Tools 4. Olympic Commercial Bumpers for Wrigley’s Gum, AT&T and Beatrice Foods 5. Tab 6. Nissan (”Yeah…for trout! Hehehehehe!”) 7. McDonald’s (I love these commercials so much) 8. Lowenbrau Beer 9. Wrigley’s Spearmint Gum (What odd jobs) 10. Stanley Tools (We test our tape measures for endurance!) 11. AT&T 12. First Jersey Securities 13. Sprint 14. Stanley Tools 15. Kodak Kodacolor VR Film 16. Sears (One of the few things in my town that has remained relatively unchanged all my life is the Sears at the mall. It even smells the same. It’s like my own personal time machine back to the 80’s) 17. UnicapM (What an oddly shaped bottle to put pills in) 18. Atari 2600 19. ABC News Brief (The Russkies knew what was up with Afghanistan)

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For option sellers it is disconcerting to hear people say that selling naked options is extremely risky because it carries the threat of ‘unlimited loses’. Nothing is farther from the truth! It’s a myth! It’s about time we correct this misconception and put this fear to rest.

While theoretically the selling of naked options carries with it the potential for unlimited loses, in the real world this so-called risk is controllable to such a large degree as to be meaningless. Thousands of option sellers are successfully making a good living and growing their capital doing nothing but sell naked options. The fact is, all these successful traders are employing certain safeguards or protective trading strategies that allow them to defeat this ‘unlimited risk’ factor.

Those who believe that naked option selling has the potential for ‘unlimited loses’ are obviously misguided in their belief. Selling or writing naked options when done in a disciplined manner coupled with proper protective trading techniques is no riskier than buying options. Seasoned options traders who specialize in naked selling regard option buying as a riskier, more speculative trading strategy. Statistics show there are more traders who lose money as option buyers than option sellers.

Options are decaying assets. They lose value each day that the underlying stock to which they are attached remains unchanged or moves in a negative direction. The magnitude of daily losses depends on many factors but the primary one being the behavior of the underlying stock. An option buyer (versus an option seller) is faced with this dilemma and can only be a winner if he correctly determines the movement of the stock and the magnitude of the move. If the market moves in the opposite direction or if it does not move at all, the option buyer is a loser. The option buyer must not only correctly foretell market direction but his prediction must be accompanied by a major move in the market. A less than significant move will still result in a loss for the option buyer.

On the other hand, the option seller takes maximum advantage of the decaying characteristic of options. As an option seller he merely sits and waits for the option to lose value daily to the point of being worthless on expiration day. He does not need to correctly predict market direction to generate profits. If he sells puts, he is a winner if the stock stays flat, a winner if the stock goes up. He can only lose if the underlying drops far enough to hit past his strike price position. This means that even if the stock goes down he is still a winner if the move is not far enough to hit his strike position. If he is a call seller, he wins when the stock drops, stays flat or moves up less than significantly. Admittedly, during the validity period of the option until its expiration date, the option seller faces the potential threat that the underlying stock may move continuously against him past his strike position, in which case there would be no limit to his loses. But this can only happen if the seller is careless enough not to watch and monitor his position on a regular basis!

Options are not ‘buy and hold’ securities. All options traders, buyers and sellers alike, carefully watch their positions on a regular frequency. In their march towards expiration dates options are always in motion in tandem with their underlying stocks thereby continuously presenting opportunities for making profits or presenting danger signals for incurring losses. Option sellers are a more cautious lot than buyers and consequently sellers have developed various protective trading techniques to offset the so called ‘unlimited risk’ factor to the point where it is nearly a negligible risk. What are these trading techniques? Each option seller may have his own system but here are a few strategies that conquer the risk.

1. First and foremost and probably the most important thing to consider when getting into selling options is the choice of securities. Highly volatile stocks are most susceptible to the highest risks because of their potential for making dramatic price moves up or down. While volatile stocks tend to offer attractive option premiums, this benefit can be cancelled by the higher risk of a major negative move. A price gap out in a stock can cause severe losses. Conservative option sellers who make a living or grow their wealth selling options will often tend to play ETFs (Exchange Traded Funds) or Indexes instead of stocks. These securities seldom undergo dramatic one day moves and it is even less vulnerable to price gap outs.

2. Careful monitoring of position – As mentioned earlier, option sellers tend to be a cautious lot and anyone who sells options and does not watch the progress of his position can only be considered dumb or stupid. One does not need to be glued to his computer screen and watch every move in the stock market. He only needs a cursory look at the market now and then to see how things are developing. When a situation starts building up where one’s short position may be in danger, action can immediately be initiated before it degenerates into a bad situation. The option sold may be bought back immediately at a slight loss before it gravitates to bigger losses. This slight loss can be no more than what an option buyer would be exposed to in a similar negative scenario. And this is assuming the option seller does nothing more than buy back the losing position. But if his monitoring is combined with the other strategies illustrated below then the risk of loss is nearly nil.

3. Use of stop losses – For the trader who does not have the time to occasionally watch the market he may use stop losses on his positions at the same time that he initiates the short positions. There is no need to explain here what a stop loss is as it is presumed anybody who is in the stock and options market knows what this is. Additionally, with the advent of online trading, electronic alerts can be initiated with brokers so that when a perilous situation starts developing an automatic alert signal is sent to the trader’s email, iphone, or cell phone.

4. Use of credit spreads – Here again there is little need to explain what a credit spread is as once more it is assumed that options traders know what this strategy entails. This trading method coupled with careful monitoring and the use of the stop loss is enough to almost guarantee that the option trader will never be exposed to the fear of ‘unlimited loss’.

5. Use of the roll-out feature of options – This is one strategy that is not being used to maximum advantage by many option sellers. Based on their personal trading experiences and extensive use of this feature those who have been using this strategy swear by it as a powerful defensive strategy in preventing losses in option selling.

Strategy number 5 above is effective enough when used alone and by itself, but when combined with the other strategies mentioned, the whole system becomes a formidable program that almost totally eliminates losses in option selling. One particular options seller has personally developed his own system of using a combination of all the above in his option trading activities and he says with much confidence that he sleeps very well at night thinking he will never ever be subjected to the so called risk of ‘unlimited losses’. He has written an e-book about his system and in it he describes in much detail the methodology he uses in overcoming the risk.

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The are hundreds of stocks that pay dividends that can be bought and sold on a variety of security exchanges across the world. While there are plenty of available dividend paying stocks to pick from, many of them are actually bad investments. You may ask – How can this be? A stock that can pay out a dividend must be a good company. That statement could not be further from the truth.

That facts are the stocks that pay dividends can come from well managed companies as well as organizations on the brink of going under. Simply picking a stock with a double digit dividend yield may be an easy way to lose your entire investment. An income dividend investor must be aware of the risks involved in chasing high yields and look for quality companies instead.

There are some steps that you can take to find stocks that pay dividends from good companies. Take a look at the basic steps below that can help you start thinking differently about high dividend yielding stocks.

Find a Stock Screener – Stock screeners come in all different shapes, sizes, and costs. There are plenty of viable stock tools you can find for FREE online. You may also want to try and see if your online discount broker offers any of these tools as part of your account Often times the stock investing software provided by a broker is far superior to that of a FREE online tool.
Filter on Dividend Yield – Once you find your stock investing tool of choice, you need to decide on your filter criteria to find stocks that pay dividends. One of the most important pieces of data to filter on is referred to as the Dividend Yield. This value represents the total dividend payout over the past 12 months divided by the current share price. To find the best dividend paying stocks, a good rule of thumb is to filter stocks that have a 2% – 5% dividend yield.
Enter Additional Stock Criteria – While dividend yield is critical to finding quality dividend paying stocks, you will probably want to include some additional filter criteria. You may want to look for stocks that pay dividends that trade above a certain price or volume. Maybe you want to look for stocks that consistently have high growth projections? These are just some of the different types of criteria you can add to your search.
Analyze your Results – The next step to find quality stocks that pay dividends is to analyze your results. If investing was easy, all you would need to do is take your filter results and begin purchasing stock. Unfortunately, a stock screening tool can provide mixed results. While these stock investing tools can be leveraged to make trading easier, they should never be replaced with good old fashioned due diligence!

Final Thoughts

The details provided above are a few simple steps that you can take to find quality stocks that pay dividends. As you become more familiar with investing in high yielding securities and your comfort level grows, you may want to consider adding more criteria. Always remember to complete your own due diligence on a stock, regardless of what any stock investing software or analyst may tell you.

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Mike Gasior discusses the basics of economics and its role in both everyday life and the financial markets. www.afs-seminars.com

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Experts, sad to say, are not always honest about their credentials, as several recent news items confirm. Knowing how to verify the background of an expert – whether yours or your opponent’s – could prove critical to your case.

In perhaps the most dramatic recent example, a New Orleans federal judge threw out a jury verdict in favor of pharmaceutical giant Merck & Co. after a cardiologist who testified for the defense in a Vioxx trial was found to have misrepresented his credentials.

A few weeks earlier in California, a man who fraudulently passed himself off as a computer forensics expert in two cases pleaded guilty to federal perjury charges. In Toronto, a psychiatrist had his license suspended after lying about his credentials while serving as an expert witness in two trials.

These cases illustrate why it is crucial for trial lawyers to confirm that an expert is all he claims to be. Vetting an expert’s credentials should be a key step in your trial preparation.

Major legal research services provide many tools for checking an expert’s background, from public records databases to deposition banks. But these major services can be expensive to use and still leave bases uncovered.

At the same time, the Web harbors a variety of resources and tools that contain potentially valuable information but that many lawyers overlook in researching an expert’s background.

Yes, we all now know to check Google, but this article looks at some of the lesser-known – and mostly free – research tools you may be bypassing. Of course, these Web tools are neither foolproof nor exhaustive. No Web site can substitute for using a reputable expert-search service.

BLOGS: WORDS CAN HAUNT YOU

The old adage, “What you say may come back to haunt you,” has never been more true. With millions of people posting to blogs and participating in Internet discussion groups, we are creating permanent records of our words and thoughts – like it or not.

In light of this, the blogosphere should be among your first stops in researching an expert’s background. Does the expert maintain a blog? If so, has he said anything there you might regret. Has he posted comments to others’ blogs. Have others written about him, positively or negatively, on their own blogs?

The best tool for searching blogs is Google Blog Search. Like Google’s Web search, it is comprehensive and up to date. You can sort results by date or relevance, and you can search blogs in multiple languages.

A close second for searching blogs is Clusty. Clusty is not a search engine – it does not crawl or index the Web. Rather, it is a metasearch tool that calls on other blog search engines, extracts the relevant information, and then organizes the results into a hierarchical folder structure – which it calls “clusters.” With this unique approach, it provides results that are both comprehensive and usefully organized.

Another source of potentially damaging comments by or about an expert is the Internet’s many news groups and discussion lists. To find postings someone made to one of these, search Google Groups. It hosts a variety of current groups as well as an archive of more than 750 million Usenet postings dating back to 1985.

As podcasts become more popular, they also should be included in a background search. Perhaps the person you are researching said something pertinent in a podcast or was the subject of someone else’s podcast comment. Several sites claim to search podcasts, but most of these actually search only the accompanying text – the title, description, author and any metadata – but not the audio file.

A handful of tools now enable you to search the full spoken text of podcasts. One of the best is Podzinger. It is based on speech-recognition technology developed for U.S. intelligence to monitor foreign television and radio broadcasts. It uses this technology to create a textual index of the audio data in any MP3 or WAV file, converting the spoken words into searchable text.

NETWORKING SITES

Where professionals once networked at cocktail parties and civic events, today you are more likely to find them connecting through any of a number of networking Web sites. The most popular at the moment is LinkedIn where members post information about their careers and their connections and share mutual recommendations. If your expert is listed on LinkedIn, read his profile carefully. How does his listing compare with what he has provided to you? Also, look for references from others and examine his network of connections for any that might help either verify or call into question his background.

Other business networking sites include Ziggs, Ryze, and Orkut. Of course, be sure also to check personal networking sites such as MySpace and Facebook.

CORPORATE RECORDS

Anyone researching a publicly traded company would know to check the U.S. Securities and Exchange Commission’s EDGAR database. But fewer think to search EDGAR for information about individuals, even though it may contain a wealth of information. Corporate filings can provide information on an individual’s business affiliations, employment arrangements, investments, and more. Even an individual’s education and employment history can sometimes be tracked through EDGAR.

If the expert works in the securities industry, two databases worth checking are NASD BrokerCheck which provides information on the professional backgrounds of current and former NASD-registered securities firms and brokers, and the National Futures Association’s Background Affiliation Status Information Center (BASIC) which does much the same for registered futures dealers.

HISTORICAL WEB

Web sites change over time. If your expert has a Web site, what it says today may differ from what it said five years ago. The best way to track historical changes in someone’s Web site is through the Internet Archive’s Wayback Machine at archive.org. Here, you can find an archive that captures historical snapshots of sites. While not exhaustive, it is likely to have at least some pages showing earlier versions of a site.

PUBLIC RECORDS

Any number of major research systems sell access to public records. These include LexisNexis, Westlaw, ChoicePoint, and Accurint. But many public records are now available online for little or no cost. A variety of Web sites help direct you to these online sources of public records.

One of the best is Search Systems with links to nearly 40,000 sources of public records on the Web. It includes links to sources throughout the world, although the greatest number of sources are in the U.S. and Canada. Not all sites listed are free, but the site clearly marks those that are not. Among the listings: professional license registrations, corporate records, marriage notices, UCC filings, deed registries, birth and death records, lobbyist listings, physician disciplinary proceedings, and much more.

Other sites that provide directories of public records and information include:

Virtual Gumshoe at virtualgumshoe.com: A good collection of Web resources for public records research.
Public Records Online Directory at http://publicrecords.netronline.com [http://publicrecords.netronline.com:]: Links to state and municipal sites, with an emphasis on real estate, tax and vital records sources.
Merlin Information Sources at merlindata.com/industrylinks.html: Links to resources for finding public records and public information.
Black Book Online at blackbookonline.info: A free public records site targeted at private investigators, skip tracers, government investigators and others. Good collection of links and descriptions.
BRB Publications at brbpub.com: provides a fairly comprehensive, state-by-state list of free public records sites, as well as an index of national sites and another for Canada and U.S. territories.

SOCIAL SECURITY NUMBERS

Due to privacy concerns, it is difficult to find social security numbers on the Web these days. But you can easily verify that a number is valid and belongs to a living person. Enter a number in The SSN Validator at and it will tell you whether the number has been issued, in which state it was issued, when it was issued, and whether any death claims exist against the number. It will not tell you the identity of the holder of the number.

PROFESSIONAL CREDENTIALS

To check a medical doctor’s license, DocFinder provides a database of license information for participating states. For states not included in the DocFinder database, the site provides links to their own license look-up sites.

Most states now have sites for verifying a lawyer’s bar admission. You can find these through the state government Web site. A new site, Avvo rates lawyers based on publicly available information and compiles client reviews and disciplinary sanctions.

DOCKETS

Is your expert a party to pending litigation? To find out in federal court, check the U.S. Party/Case Index. This is a national index of parties and cases for U.S. district, bankruptcy and appellate courts. It is updated nightly. Use of it requires a PACER account. Not all federal courts participate, but the site includes a list of those that do not.

A service with much the same information that requires no account is Justia’s Federal District Court Filings & Dockets. This free, searchable resource contains information on recently filed U.S. district court civil cases. The database includes cases filed since Jan. 1, 2006 and can be searched by party name, court, and type of case.

Another low-cost option for searching federal court dockets is Who’s Suing Whom. A private translation and interpretation services firm offers this tool for searching patent, trademark or copyright cases pending in federal courts. Search by case type and party name, court, state or date to find basic case information. There is a charge to retrieve full-text court dockets.

VITAL RECORDS

Vital records – birth, death and marriage certificates and divorce decrees – are increasingly available free online through state and local government sources. Vital Records Information at vitalrec.com tells where to find them anywhere in the U.S. It lists sources for each state, territory and county, and most cities and towns, along with contact, fee and ordering information. For records outside the U.S., the site lists links to foreign vital records sites. This straightforward site is designed with a nod towards genealogy, but it is one many lawyers are sure to find useful.

EXPERT WITNESS RULINGS

The Daubert Tracker is a Web site developed specifically to help lawyers track cases involving the admissibility of expert testimony and, in particular, find out how specific experts fared in the courts. Its central feature is a database of all reported cases under Daubert and its progeny, trial and appellate, backed up when available by full-text briefs, transcripts and docket entries. Part of what makes the site unique is that it links cases to experts. Even if the expert is not named in the court decision, the site’s editors track down the expert’s identity.

A year subscription is $295 or you can purchase a two-hour session for $25 or a half-hour for $10. For free, you can search the site’s collection of more than 10,000 briefs and other supporting documents from both appellate and trial courts relating to expert witness testimony. If you find a document you are interested in, you can also view the first 10 percent of it free. If you decide you want to purchase the complete document, the cost is $15 for non-subscribers and $7.50 for subscribers.

WRITINGS

In vetting an expert, it is important to confirm authorship of listed works as well as to search for any unlisted works that could be relevant or embarrassing. Two essential resources to check for published works are the Library of Congress Online Catalog at and the records of the U.S. Copyright Office. Of course, it also makes sense to check Amazon.com.

An increasingly popular resource for scholarly publications is the Social Science Research Network. This international collaborative is home to scholarly research covering more than 400 subject areas. It contains abstracts of more than 150,000 working papers and the full text of well over 100,000 published papers. This makes SSRN an essential source for researching an expert’s published papers.

Another useful source is ISI HighlyCited.com This site provides profiles and bibliographic information for the most highly cited researchers in 21 broad subject categories. For listed individuals, the site provides biographical information – including education, faculty and professional posts, memberships and offices, current research interests and personal Web sites – as well as a full listing of publications, including journal articles, books, and conference proceedings.

OTHER RESOURCES

The U.S. government maintains any number of databases that could be relevant to vetting an expert, depending on his field of expertise. One often worth checking is the Excluded Parties List System. It provides information on individuals and companies that are excluded from receiving federal contracts and federal financial assistance.

When it comes to checking someone’s background, more is better. The more sources you use, the more complete your search. The free and low-cost resources described here provide useful supplements to more expensive research services.

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Typically when you think of trading stocks, the major stock exchanges may come to mind like the New York Stock Exchange (NYSE), the National Association of Securities Dealers Automated Quotations (NASDAQ), and the American Stock Exchange (AMEX). A Penny stock is a low priced security for a very small company with a market capitalization of under $500 million and usually trade in very low volumes. Penny stocks also trade on other “other the counter” exchanges like the OTCBB and Pink Sheets.

Due to the low trading volumes, penny stocks are an investment option that comes with a sizeable amount of risk. According the Securities and Exchange Commission, potential investors in penny stocks should be aware of the fact that due to the low trading volume of these stocks, it is possible that an investor won’t find a buyer for their shares. Finding accurate price quotations are also difficult making it a strong possibility that an investor can lose their entire investment.

Penny stocks do carry a certain appeal for many different kinds of investors. Chances are though, a new investor looking for a potentially lucrative investments with a fairly low entry price will run across the penny stock. The allure comes in the fact that at such low prices any changes are often measurable in hundreds of percent in a given day or two. An investor’s stock value can literally become worth double or even triple the original investment amount.

Conversely, the price of a penny stock can drop in value just as quickly. New and inexperienced investors would do well to avoid making penny stocks a major part of their investment portfolio. Also due to the low listing requirements on exchanges like OCTBB and Pink Sheets, many companies are not to be considered safe investments. Many of the companies listed on alternative exchanges lack enough financial history to be able to accurately determine if they would make a good investment or not. In some cases, companies that are considered to be penny stocks are either new companies or are in some cases dangerously close to bankruptcy.

Unfortunately, some traders have even taken to artificially manipulating stock prices by buying up large amounts of a stock and then convincing individual investors of the need to buy. Since most of these stocks aren’t in such great demand, an investor will have to lower his asking price in order to entice a bidder, oftentimes at a loss.

Not every company that trades for “pennies” should be considered fraudulent. Some are simply small companies trying to grow their business and are working very hard to end up on the larger market exchanges. Wading through the fraudulent companies to find the truly reputable companies capable of helping an investor turn a large profit may not be worth it. Investors with low investment income may be convinced that just one good trade can triple their investment, but in the end an investor is better off choosing an investment from a company that they have researched and are convinced that this company’s value will grow in the future.

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