Legal Blog

They say, “Don’t put all your eggs in one basket.” This is such an important tenet of investing, and a financial advisor who fails to diversify your investment portfolio might be committing rookie mistakes. You should always talk to your financial advisor when making...

If your stockbroker suddenly shutters their business and can’t be reached, that may be a sign that they’ve done something very wrong. When a broker goes out of business, they normally move investments they’ve been managing to another firm. However, if they failed to...

Properly managing your IRA or other retirement accounts means following a series of rules. You face limits on contributions, you can’t withdraw funds early without taking a penalty, and once you can withdraw funds, you may be required to withdraw certain minimum...

Your stockbroker or financial advisor is required to keep many records of what they do with your finances. If you run into disputes with your broker and need to take them to court, to arbitration, or to mediation, these records can help prove what happened, and what...

Predatory financial advisors and brokers running scams often target the elderly. Senior citizens pensions and Social Security payments may have few expenses, which often leaves them with extra cash to invest. That makes them a prime target for crooked financial...