Legal Blog

Whether to stick with an investment or drop out is your decision, not your broker’s. They can give you advice and help you make good decisions, but it isn’t their job to substitute their judgment for your own. If your financial advisor pulled you from a mutual 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 try...

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...

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...

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...

Purchasing stocks is one of the most important functions a financial advisor or stockbroker can perform for his or her clients. However, advisors generally must obtain permission before buying stocks or other securities. Unless you contractually authorized your...