Blog

June 14, 2022

In-person arbitration hearings at the Financial Industry Regulatory Authority (FINRA) have been on hold since COVID-19 hit U.S.

June 14, 2022

Investors trust their financial professionals to help them make sound decisions with their money. Unfortunately, however, financial professionals sometimes take advantage of this trust, defrauding their clients out of large sums of money

June 14, 2022

Investment advisors, brokers, and other financial professionals have a duty to act in the best interests of their clients. Unfortunately, however, certain individuals involved in the financial industry sometimes attempt to enrich themselves at their clients’ expense.

June 14, 2022

Scammers tend to thrive in times of crisis. These unscrupulous individuals view times of uncertainty as opportunities to prey on people’s fears and insecurities.

June 14, 2022

It seems as if hurricanes are more prevalent than ever these days—particularly in Florida. And although it may not be possible to predict when and where hurricanes may strike in the future...

June 14, 2022

When a customer is dissatisfied with the work of his or her financial advisor, he or she may lodge a complaint with the Financial Industry Regulatory Authority.

June 14, 2022

Financial advisors sometimes find themselves involved in litigation. Often, lawsuits are initiated by investors who accuse their financial advisors of fraudulent activities...

June 14, 2022

For investors who wish to file a claim against a financial professional, the FINRA arbitration process can seem intimidating.

June 14, 2022

As an investor who has been victimized by a financial professional, it is only natural to seek compensation for your losses. Fortunately, the FINRA arbitration process offers aggrieved investors the opportunity to do just that.

June 14, 2022

The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.