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FINRA arbitrators’ $519,000 message to Morgan Stanley: Small profits were not enough
It often takes large losses for an investor to consider suing his or her stockbroker or financial advisor. However, experienced FINRA arbitration attorneys know that investors may have a claim even if their portfolio realized modest gains. In evaluating a potential...
read moreFINRA 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...
What is the Difference Between FINRA Arbitration and Mediation?
The Financial Industry Regulatory Authority, or FINRA, is a non-governmental organization authorized by Congress to regulate the activities of its members within the finance and securities industries. To date, these members include approximately 630,000 individual...
What to Do if You Think Your Stockbroker Is Charging Excessive Markups or Commissions on Securities
Working with a stockbroker takes a level of trust. You could be trusting them to invest thousands, hundreds of thousands, or even millions of dollars of your money. Of course, a broker is permitted to take a fee for their services, but sometimes these fees and charges...
How to Tell if Your Financial Advisor Has a Conflict of Interest Regarding Securities or Funds He/She is Promoting
Conflicts of interest in the field of financial advising are a serious problem. If a broker or financial advisor is more interested in what they get out of an investment than what you get, they could be unable to provide you with fair, reasonable advice. If a...
What to Do if Your Financial Advisor Removed You from a Mutual Fund Without Telling You
Whether to stick with an investment or drop out is your decision, not your broker’s. They can give you advice and help you make good decisions, but it isn’t their job to substitute their judgment for your own. If your financial advisor pulled you from a mutual fund...
What if My Stockbroker Did Not Disclose the Charges or Fees Involved with a Stock or Fund?
Most stock brokers make money on a per-transaction basis. This means that each trade they make often nets them a fee, which adds up to a substantial part of their pay. This gives them the incentive to make as many trades as possible – which may be something they try...