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...
What if my Stockbroker Did Not Disclose the Risks of Investing in a Security?
If a financial advisor or stockbroker misleads an investor into thinking that a particular security, such as a stock or bond, is less financially risky than it actually is, the investor is likely to sustain devastating financial losses. This is a form of securities...
How Do I Know if My Broker or Financial Advisor is Taking Advantage of Me?
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...
What to Do if Your Financial Advisor Sold Stocks without Telling You
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...
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