Recovering Your Investment Losses is My Priority Get Experienced & Committed Counsel Talk to Me

Blog

Choosing an Investor Representation Attorney

Although investing carries a certain amount of risk, investment losses aren’t always caused by bad luck or market fluctuations. Unfortunately, investment losses are often the result of unscrupulous behavior by financial professionals.

Read More

Addressing Disputes with Your Financial Advisor

Losing money is no fun. Often, financial losses are simply a result of the market or the performance of a particular investment. Sometimes, however, financial losses are caused by the actions or inactions of financial professionals.

Read More

How to Protect Yourself from Securities Fraud

If you’re an investor, you place a lot of trust in your financial advisor. After all, as a fiduciary, your financial advisor is supposed to act in your best interests.

Read More

FINRA Announces Plans to Crack Down on Broker Misconduct

The Financial Industry Regulatory Authority (“FINRA”) recently announced plans to crack down on broker misconduct. In Regulatory Notice 21-09, the self-regulatory organization announced that new rules will address brokers with a significant history of misconduct and their employers

Read More

The Importance of Portfolio Diversification

Diversification is a process by which a person includes several kinds of financial instruments in his or her investment portfolio in order to make it less vulnerable to changes in the market.

Read More

FINRA to Crack Down on Financial Firm Misconduct

The Financial Industry Regulatory Authority (FINRA) recently proposed rule changes that would impose new conditions on financial firms with long histories of misconduct.

Read More

An Overview of FINRA

The Financial Industry Regulatory Authority (FINRA) is a U.S. corporation and self-regulatory organization. FINRA is a consolidation of the enforcement, member regulation, and arbitration operations of NASD, the New York Stock Exchange

Read More

FINRA Suspends Broker for Generating $450k in Commissions for Unsuitable Trades

The Financial Industry Regulatory Authority (FINRA) recently fined and suspended a broker for allegedly generating $450,000 in commissions from unsuitable mutual fund switches

Read More

Financial Advisors Beware: FINRA Fines Are on the Rise

It was recently revealed that the Financial Industry Regulatory Authority, Inc. (FINRA) imposed higher fines on financial advisors and member firms in 2018 than it did in 2017.

Read More

FINRA Proposes to Crack Down on Firm Misconduct

The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.

Read More