Investor Blog

About Cody

Cody represents investors who have lost money or been harmed by fraud and other financial misconduct.


See Cody’s Full Bio

About the Blog

This blog is intended to provide information to the general public and to practitioners about developments that may impact investors in Oregon and across the country.

Sign up to receive Investor Blog posts in your inbox!

Understanding Interest Charges on Margin Loans

The SEC recently published an Investor Bulletin with important information about interest charges on margin accounts. Trading on margin is not free. Like other borrowed money, broker-dealers that lend money to investors to trade on margin charge interest. These interest charges increase risk, reduce an investor’s return, and increase the amount of money an investor must earn to break even.

Learn More »

SEC Division of Examinations Announces Priorities for 2022

The SEC Division of Examinations announced its 2022 examination priorities in late March. The priorities include a “focus on private funds, environmental, social and governance (ESG) investing, retail investor protections, information security and operational resiliency, emerging technologies, and crypto-assets.”

Learn More »

SEC Issues Wrap Fee Risk Alert

The SEC’s Division of Examinations issued a Risk Alert about wrap fee programs used by investment advisers. Wrap fee programs require advisory clients to pay a consolidated fee for investment advisory services and other expenses, such as commissions, trading fees, and administrative costs.

Learn More »

Margin Trading Is at Record Levels

Investors are borrowing against their portfolios at record levels, according to FINRA data about debit balances in margin accounts. As of November 2020, investors borrowed more than $722 billion against the value of their accounts.

Learn More » Accused of Selling Fraudulently Overpriced Gold and Silver Bullion and its parent company, TMTE, Inc., along with Chase Metals, LLC, Chase Metals, Inc., Barrick Capital, Inc., and its principals Lucas Asher (aka Lucas Thomas Erb, aka Luke Asher) and Simon Batashvili are alleged to have run a nationwide fraud that brought in more than $185 million in money from customers to buy fraudulently overpriced gold and silver bullion.

Learn More »

Investor Claims in Court and FINRA Arbitration

Mistakes made by even well-intentioned financial advisers, stock brokers, promoters, solicitors, and others who give investment advice or sell financial products sometimes come to light when markets are volatile or when a bull market ends.

Learn More »

Free Tools to Research Investment Firms and Individuals

Investors have access to free electronic search tools through self-regulatory organizations, federal, and state regulators to research investment firms and professionals. This post describes several free tools that give access to information beyond what you can learn using Google and other search engines.

Learn More »