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Can your investment in ATEL 16, LLC be the basis for a FINRA arbitration claim?
Have you lost money due to your purchase of shares of ATEL 16, LLC or are you unable to sell your stake in this investment? ATEL 16, per its Prospectus “[acquires] a diversified portfolio of leased equipment, equipment financing transactions and other investments,...
read moreWarning Signs that Your Financial Advisor is Churning Your Account
“Trade churning” is the name given to a practice that many financial advisors use to abuse their investors’ trust and rack up high bills. The Financial Industry Regulatory Authority (FINRA) has rules and regulations governing financial advisors and other financial...
What to Do if You Suspect Your Broker is Fraudulent
Fraud is a problem in any industry, especially the financial industry. Classic fraud schemes like Ponzi schemes begin with a promise of an investment opportunity but often end with financial ruin and potential participation in a crime. Other schemes are subtler or may...
Warning Signs of Fraud During BrokerCheck
BrokerCheck is one of FINRA’s tools that help inform investors and help keep them aware of potential issues in the financial advising community. Not everyone claiming to be a broker or financial advisor has the proper certifications and licenses to qualify them to...
What Are the FINRA Requirements Your Broker Needs to Meet?
Brokers and financial advisors are held to certain standards based on federal and state law. In addition, the Financial Industry Regulatory Authority (FINRA) creates specific rules that apply to financial industry professionals across the country. These rules require...
What is the Difference Between FINRA and the SEC?
The Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) are both financial agencies that protect investors against securities fraud, also known as “investment fraud,” which is the practice of stockbrokers or...
FINRA Day Trading Rules
Day trading is a stock market practice where an investor buys and sells stocks in the same day with the intent of making a profit. While this is legal, it is sometimes a risky investing maneuver. As such, the SEC and FINRA have special rules that deal with day...