Blog
June 14, 2022
Although investing carries a certain amount of risk, investment losses aren’t always caused by bad luck or market fluctuations. Unfortunately, investment losses are often the result of unscrupulous behavior by financial professionals.
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Losing money is no fun. Often, financial losses are simply a result of the market or the performance of a particular investment. Sometimes, however, financial losses are caused by the actions or inactions of financial professionals.
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If you’re an investor, you place a lot of trust in your financial advisor. After all, as a fiduciary, your financial advisor is supposed to act in your best interests.
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The Financial Industry Regulatory Authority (“FINRA”) recently announced plans to crack down on broker misconduct. In Regulatory Notice 21-09, the self-regulatory organization announced that new rules will address brokers with a significant history of misconduct and their employers
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Diversification is a process by which a person includes several kinds of financial instruments in his or her investment portfolio in order to make it less vulnerable to changes in the market.
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The Financial Industry Regulatory Authority (FINRA) recently proposed rule changes that would impose new conditions on financial firms with long histories of misconduct.
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The Financial Industry Regulatory Authority (FINRA) is a U.S. corporation and self-regulatory organization. FINRA is a consolidation of the enforcement, member regulation, and arbitration operations of NASD, the New York Stock Exchange
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The Financial Industry Regulatory Authority (FINRA) recently fined and suspended a broker for allegedly generating $450,000 in commissions from unsuitable mutual fund switches
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It was recently revealed that the Financial Industry Regulatory Authority, Inc. (FINRA) imposed higher fines on financial advisors and member firms in 2018 than it did in 2017.
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The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.
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