Has My Stockbroker or Investment Advisor Been in Trouble or Disciplined?
When an investor suspects that he or she has been defrauded by his or her stockbroker or investment advisor, the investor can file a claim with the Financial Industry Regulatory Authority (FINRA). Filing a FINRA claim will initiate a dispute resolution process, such...Private Placement Investments and Brokers’ Due Diligence Requirements
What is a Private Placement Investment? A private placement is an offering of unregistered securities to a limited pool of investors. In a private placement investment, a company sells shares of stock in the company or other interest in the company, such as warrants...If an Advisor Lost Your Money by Shorting Volatility, You May Be Able to Recover Your Losses
Mutual funds or ETFs that short the stock market’s volatility index, also called inverse VIX funds, bet on a stable market. So when the market dropped earlier this month, those who laid down their money on these complex wagers lost big. Sometimes called the...
What Are the Fees for a FINRA Arbitration Attorney?
If you or your business sustained major financial losses because your stockbroker, financial planner, or investment advisor committed fraud or acted negligently, you may be able to recover compensation. While there are several ways for victims of securities fraud to...
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