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Was Your Financial Advisor Fired or Banned from the Securities Industry???
Have you recently learned that your financial advisor was fired from his brokerage firm or that he has been banned from the securities industry? There are many reasons why a financial advisor could be fired or barred from the industry, including making risk trades or...
read moreFINRA Warning: Initial Coin Offering (ICO)-Related Scams
Cryptocurrency is a digital, decentralized form of currency that uses encryption (hence the prefix “crypto-”) to give users more privacy than transactions conducted using checks, credit cards, or debit cards. This partial anonymity – combined with massive increases in...
5 Ways FINRA Can Protect Investors
The Financial Industry Regulatory Authority (FINRA) writes rules and regulations for financial industry professionals and has numerous tools to try to prevent vulnerable investors from facing financial harm. In many cases, these tools work preemptively to keep...
5 Signs of Investment Scams
Brokerage firms and investment advisors are expected to help investors make sound financial decisions that align with the investor’s goals, risk tolerance, and background. Unfortunately, some brokers abuse their positions to further their own financial aims. Too...
It’s Not Too Late to Hire an Experienced FINRA Arbitration Attorney
If your investments were ruined or you lost money because of negligent financial advising or fraudulent investments, you may be able to file a claim against your stockbroker or financial advisor. In some cases, you may be able to file a conventional lawsuit in court,...
Why It’s Important to Get Limited Discovery Right in FINRA Arbitrations
“Discovery” is a key component of all legal disputes. Whether you take your case to arbitration or file it in court, you have access to records and evidence that the other side has in their possession. You may also get the power to ask questions or bring the other...
What Are the Benefits of Hiring a FINRA Arbitration Lawyer?
The Financial Industry Regulatory Authority (FINRA) is the self-regulating agency responsible for disciplinary matters and licensing for most stockbrokers and financial advisors throughout the country. FINRA’s strong rules and regulations ensure that brokers meet...