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FINRA Releases Annual Risk Monitoring and Examination Priorities Letter

The Financial Industry Regulatory Authority (FINRA) recently released its annual Risk Monitoring and Examination Priorities letter.

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Do You Need an Attorney for Securities Arbitration?

Most interactions between investors and investment professionals are positive. However, when a problem occurs that the parties can’t resolve on their own, further measures are sometimes needed.

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What to Do if You Are a Victim of Investment Fraud

Investment fraud affects scores of investors every year, often leaving them in dire financial straits. However, if you’ve been the victim of investment fraud, there are a number of things you can do to limit or eliminate your losses.

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What is FINRA’s Failure to Supervise Rule?

The Financial Industry Regulatory Authority (“FINRA”) is responsible for regulating financial professionals and brokerage firms. FINRA’s rules guide the conduct of its members, and these rules include requirements that firms supervise their brokers and financial advisers.

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An Overview of Securities Fraud

There are a number of laws, rules, and regulations in place that are intended to protect investors. Unfortunately, however, it is not uncommon for these laws to be violated.

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What Is Lack of Diversification?

Investors expect their brokers to help them build portfolios that meet their investment objectives. Diversification, which is the process of investing in a variety of industries, companies

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What Is the Financial Industry Regulatory Authority?

At SIMMS LAW, P.A., we routinely represent aggrieved investors in arbitration before the Financial Industry Regulatory Authority (FINRA), a United States self-regulatory organization. FINRA represents the consolidation of the arbitration

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Investor Tips for Avoiding Unregistered Entities

The investment world is full of fraudsters, crooks, and scam artists, and investors must always remain vigilant to keep their investments safe.

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What Is an Unsuitable Investment?

Investment professionals, such as brokers and financial advisors, are required to deal fairly with their customers. Part of this requirement involves making suitable investments.

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Financial Advisors: Here’s How to Expunge Customer Dispute Information

When a customer lodges an official complaint against a financial advisor, this information, known as customer dispute information, is logged in the Financial Industry Regulatory Authority’s (FINRA) Central Registration Depository (CRD) record.

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