Articles | Frederick W Rosenberg JD

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Frederick W Rosenberg JD

fredrosenberg45@optimum.net

973-761-8866

Articles

TICS - WHAT ATTORNEYS NEED TO UNDERSTAND

FALL 2013

Between 2002 and 20010, syndicated Tenancy in Common investments, (TICs) promised a safe, tax advantaged exchange of Real Estate but cost investors Billions in losses. Before investing in TIC real estate, this article should disclose the enormous risk.

REASONABLE DUE DILIGENCE FOR
OIL AND GAS DRILLING PROGRAMS

Fall 2016

Oil and Gas investments have been recommended to investors to provide income and capital preservation. Every investor considering a direct investment in oil drilling or production needs to understand the risks and returns.

Options Damages: Dangerous "Assignments" with a Twist

Fall 2017

Recent article on options damages when there are Assignments.

Analyzing Covered Call Writing Claims

Winter 2006

Covered Call writing has been recommended as a low risk strategy to generate income. For many however it has resulted in substantial losses. Understand why this potentially high risk strategy is considered low risk by broker/dealers.

“LATE-TERM” INVESTORS, MONTE CARLO SIMULATION AND “SEQUENCE-OF-RETURN RISK”

Fall 2014

For years retirement age investors measured their objectives actuarially leading many retirees with life expectancy of 25+ years to invest in growth stocks. But accounts under distribution are subject to Sequence Risk. Retirement age investors are not "long term" but "Late Term" investors with unique risks which often go unrecognized.

MAXIMIZE YOUR EXPERT’S IMPACT IN
REASONABLE BASIS SUITABILITY CASES

Spring 2015

This article discusses attorney preparation needed to maximize expert testimony. It is based upon 25 years experience as an expert witness.

About NCIs1, Reg. D, and Suitability

Spring 2014

There is much confusion about Regulation D Private Placements, who may invest, what is an "Accredited Investor", and general suitability issues. Here is some of what you kneed to know

THE MADOFF DISTRACTION

Spring 2010

This article addresses the disparity in attention paid to Bernard Madoff at a time when individual investor losses were catastrophic.

Wrap Fees, Managed Accounts, Financial Plans: A Trinity of Abuses for the 21st Century

Summer 2003

Fees and costs can sap returns and increase risk as has been highlighted in recent years. This is what I wrote on the subject in 2003

WHAT'S WITH 72T?

Fall 2007

Section 72 T of the tax code allows early withdrawals from qualified accounts without the 10% additional tax. But electing 72 T can be problematic and should not be elected casually. Originally published in the Practicing Law Institute course on securities arbitration.

Why Selling Agreements Matter

Fall 2015

Selling Agreements between Sponsors and Broker/Dealers incorporate the rules and standards agreed upon in the offering of Private Placements, including due diligence, selling requirements, liability, & regulatory standards. Who benefits?

Why Selling Agreements Matter

Fall 2015

Selling Agreements between Sponsors and Broker/Dealers incorporate the rules and standards agreed upon in the offering of Private Placements, including due diligence, selling requirements, liability, & regulatory standards. Who benefits?

Variable Annuities : What Attorneys Should Know

Spring 2019

Variable Annuities are increasingly the subject of investor arbitration. The articles discusses issues and remedies for unsuitable variable annuity recommendations. DRAFT

LAWLINE CLE Course

NOP Redux- Where is the Income-Fees Excluded?

Winter 2018

NOP, net out of pocket, is only coincidentally a measure of damages in securities arbitration. In most cases NOP is only part of a damage computation. What is excluded and what adjustments are required to compute damages accurately from NOP? [Draft]

Death By Suitability

Fall 2008 Piaba Bar Journal

What is Suitability and How It Matters

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