Uncategorized Archives - Page 26 of 28 - Epperson & Greenidge LLP

How Do I File a Complaint About a Financial Advisor?

by M@jux-@dmin | Mar 14, 2018 | Uncategorized

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...

What if My Financial Advisor Switched Me from One Mutual Fund to Another Without Reason?

by M@jux-@dmin | Mar 12, 2018 | Uncategorized

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...

How to Tell if You Were a Victim of Insider Trading

by M@jux-@dmin | Mar 8, 2018 | Uncategorized

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...

Has My Stockbroker or Investment Advisor Been in Trouble or Disciplined?

by M@jux-@dmin | Mar 2, 2018 | Uncategorized

When an investor suspects that he or she has been defrauded by his or her stockbroker or investment advisor, the investor can file a claim with the Financial Industry Regulatory Authority (FINRA). Filing a FINRA claim will initiate a dispute resolution process, such...

Private Placement Investments and Brokers’ Due Diligence Requirements

by M@jux-@dmin | Mar 1, 2018 | Uncategorized

What is a Private Placement Investment? A private placement is an offering of unregistered securities to a limited pool of investors. In a private placement investment, a company sells shares of stock in the company or other interest in the company, such as warrants...

If an Advisor Lost Your Money by Shorting Volatility, You May Be Able to Recover Your Losses

by M@jux-@dmin | Feb 28, 2018 | Uncategorized

Mutual funds or ETFs that short the stock market’s volatility index, also called inverse VIX funds, bet on a stable market. So when the market dropped earlier this month, those who laid down their money on these complex wagers lost big. Sometimes called the...

« Older Entries

Next Entries »

How Do I File a Complaint About a Financial Advisor?

What if My Financial Advisor Switched Me from One Mutual Fund to Another Without Reason?

How to Tell if You Were a Victim of Insider Trading

Has My Stockbroker or Investment Advisor Been in Trouble or Disciplined?

Private Placement Investments and Brokers’ Due Diligence Requirements

If an Advisor Lost Your Money by Shorting Volatility, You May Be Able to Recover Your Losses

Search

Recent Posts

Recent Comments

Archives

Categories

Meta