Legal Blog

FINRA, or the Financial Industry Regulatory Authority, was created as a national organization that writes rules and regulations for professionals in the financial industry, licenses these individuals and organizations, and provides avenues for compensation and...

The Financial Industry Regulatory Authority (FINRA) creates rules and regulations for professionals in the financial industry. FINRA also creates pathways for the victims of bad financial advising, negligent brokerage, and other financial harms to seek compensation...

The Financial Industry Regulatory Authority (FINRA) has rules and regulations that, unsurprisingly, govern the financial industry. But how far do these rules reach? It is important to understand if the financial advisor or stockbroker you are working with is governed...

They say, “Don’t put all your eggs in one basket.” This is such an important tenet of investing, and a financial advisor who fails to diversify your investment portfolio might be committing rookie mistakes. You should always talk to your financial advisor when making...

If your stockbroker suddenly shutters their business and can’t be reached, that may be a sign that they’ve done something very wrong. When a broker goes out of business, they normally move investments they’ve been managing to another firm. However, if they failed to...

Properly managing your IRA or other retirement accounts means following a series of rules. You face limits on contributions, you can’t withdraw funds early without taking a penalty, and once you can withdraw funds, you may be required to withdraw certain minimum...