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Did you lose money investing in American Finance Trust?
Have you lost money due to your purchase of American Finance Trust or are you unable to sell your stake in this investment? American Finance Trust is an illiquid and complex ‘Private Placement’ investment. The term Private Placement is a catch-all term that can also...
read more12 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...
FINRA Dispute Resolution vs. Filing a Complaint: Which Option is Right for Investors?
The Financial Industry Regulatory Authority, or FINRA, is a non-governmental agency that monitors stockbrokers, brokerage firms, and investment advisors to ensure that they are complying with federal laws and treating investors fairly. If an investor thinks that he or...
What is the Difference Between FINRA Arbitration and Mediation?
The Financial Industry Regulatory Authority, or FINRA, is a non-governmental organization authorized by Congress to regulate the activities of its members within the finance and securities industries. To date, these members include approximately 630,000 individual...
What to Do if You Think Your Stockbroker Is Charging Excessive Markups or Commissions on Securities
Working with a stockbroker takes a level of trust. You could be trusting them to invest thousands, hundreds of thousands, or even millions of dollars of your money. Of course, a broker is permitted to take a fee for their services, but sometimes these fees and charges...
How to Tell if Your Financial Advisor Has a Conflict of Interest Regarding Securities or Funds He/She is Promoting
Conflicts of interest in the field of financial advising are a serious problem. If a broker or financial advisor is more interested in what they get out of an investment than what you get, they could be unable to provide you with fair, reasonable advice. If a...