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Raymond James agrees to pay $15 million to settle SEC investigation
As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on Raymond James’s actions in improperly charging certain clients advisory fees when the...
read moreHow Long Does My Broker Have to Retain Records Under FINRA Requirements?
Your stockbroker or financial advisor is required to keep many records of what they do with your finances. If you run into disputes with your broker and need to take them to court, to arbitration, or to mediation, these records can help prove what happened, and what...
5 Ways to Protect Senior Investors from Securities Fraud Scams
Predatory financial advisors and brokers running scams often target the elderly. Senior citizens pensions and Social Security payments may have few expenses, which often leaves them with extra cash to invest. That makes them a prime target for crooked financial...
Financial advisor accused of ‘bait and switch’ targeting the elderly
A Massachusetts financial advisor faces charges that he used Alzheimer’s disease to scare seniors into calling him so he could try to sell them his services. Barry G. Armstrong, an agent of Securities America, mislead listeners of his radio show by presenting himself...
12 Common Types of Prohibited Stockbroker Conduct
The securities industry is regulated, in part, by an organization called the Financial Industry Regulatory Authority (FINRA), which oversees the activities of more than half a million financial professionals and brokerage firms in locations across the U.S. Though not...
What Types of Cases Are Eligible for FINRA Arbitration?
The Financial Industry Regulatory Authority (FINRA) is a multistate body authorized by Congress to regulate the financial industry. They write rules and ethics codes for finance professionals, including stock brokers and financial advisors. If any professional or...
FINRA Dispute Resolution vs. Filing a Complaint: Which Option is Right for Investors?
The Financial Industry Regulatory Authority, or FINRA, is a non-governmental agency that monitors stockbrokers, brokerage firms, and investment advisors to ensure that they are complying with federal laws and treating investors fairly. If an investor thinks that he or...