What to Do if Your Financial Advisor Sold Stocks without Telling You
Selling stocks is a key duty for stockbrokers and other financial professionals. However, that does not mean investment advisors and brokers have the right to sell stocks indiscriminately. On the contrary, it is generally unlawful for a stockbroker or financial...
What to Do if Your Financial Advisor Bought Stocks without Telling You
Purchasing stocks is one of the most important functions a financial advisor or stockbroker can perform for his or her clients. However, advisors generally must obtain permission before buying stocks or other securities. Unless you contractually authorized your...
How Do I File a Complaint About a Financial Advisor?
Unfortunately, statistics indicate that thousands of investors file complaints against financial advisors, stockbrokers, and other financial professionals each year. Many of these complaints result in formal action against the broker or financial advisor, and...
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