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Concerned about your investment in American Realty Capital Trust V?
Have you lost money due to your purchase of American Realty Capital Trust V or are you unable to sell your stake in this investment? American Realty Capital Trust V is an illiquid and complex ‘Private Placement’ investment. The term Private Placement is a catch-all...
read moreWhat is the Difference Between FINRA and the SEC?
The Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) are both financial agencies that protect investors against securities fraud, also known as “investment fraud,” which is the practice of stockbrokers or...
FINRA Day Trading Rules
Day trading is a stock market practice where an investor buys and sells stocks in the same day with the intent of making a profit. While this is legal, it is sometimes a risky investing maneuver. As such, the SEC and FINRA have special rules that deal with day...
Hospitality Investors Trust – how do I recover my losses?
A new name hasn’t given Hospitality Investors Trust a clean slate. Investors in this real estate fund, formerly known as American Realty Capital Hospitality Trust, have seen their share values plummet, and a lawsuit, filed recently in federal court, charges...
Why Was FINRA Created?
FINRA, or the Financial Industry Regulatory Authority, was created as a national organization that writes rules and regulations for professionals in the financial industry, licenses these individuals and organizations, and provides avenues for compensation and...
Where Are FINRA Arbitrations Held?
The Financial Industry Regulatory Authority (FINRA) creates rules and regulations for professionals in the financial industry. FINRA also creates pathways for the victims of bad financial advising, negligent brokerage, and other financial harms to seek compensation...
Who Do FINRA Rules Apply To?
The Financial Industry Regulatory Authority (FINRA) has rules and regulations that, unsurprisingly, govern the financial industry. But how far do these rules reach? It is important to understand if the financial advisor or stockbroker you are working with is governed...