Legal Blog

If you can prove that your financial advisor caused you to suffer financial losses by engaging in fraud or financial misconduct, you may be able to recover compensation with help from an aggressive and experienced FINRA arbitration lawyer. However, before you can file...

Selling stocks is a key duty for stockbrokers and other financial professionals. However, that does not mean investment advisors and brokers have the right to sell stocks indiscriminately. On the contrary, it is generally unlawful for a stockbroker or financial...

Purchasing stocks is one of the most important functions a financial advisor or stockbroker can perform for his or her clients. However, advisors generally must obtain permission before buying stocks or other securities. Unless you contractually authorized your...

Unfortunately, statistics indicate that thousands of investors file complaints against financial advisors, stockbrokers, and other financial professionals each year. Many of these complaints result in formal action against the broker or financial advisor, and...

As a client of a financial advisor, your broker or other account manager owes you particular duties. These may depend heavily on the specifics of your situation and on state law, but, ultimately, the Financial Industry Regulatory Authority (FINRA)’s professional rules...

Insider trading is a complicated issue with the potential to wreak havoc on the investments of millions of people. When a broker or board member of a large corporation commits insider trading crimes, they could drive down stock prices, affecting the investments of any...