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...
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...
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