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FINRA arbitrators’ $519,000 message to Morgan Stanley: Small profits were not enough
It often takes large losses for an investor to consider suing his or her stockbroker or financial advisor. However, experienced FINRA arbitration attorneys know that investors may have a claim even if their portfolio realized modest gains. In evaluating a potential...
read moreHow Do I File a Complaint About a Financial Advisor?
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?
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 rules...
How to Tell if You Were a Victim of Insider Trading
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?
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
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
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 ‘fear...