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Is it Possible to Sue Your Stockbroker?

While many investment professionals do an excellent job for their clients, there are, unfortunately, situations in which investors must take legal action. But can a stockbroker be sued? In most cases, a stockbroker cannot be sued in civil court.

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Reg BI Compliance Deadline Remains Same Despite Coronavirus Outbreak

The temporary closure of non-essential businesses in the wake of the coronavirus pandemic has wreaked havoc on the United States economy.

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The FINRA Arbitration Process: What to Expect

Arbitration is an alternative to litigation. Disputes between investors and investment professionals are arbitrated before the Financial Industry Regulatory Authority (FINRA).

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Attention Investors: Securities Fraud Is on The Rise in 2019

According to a new report, securities fraud is on the rise. In fact, nearly 200 fraud-related federal class-action lawsuits were filed in the first half of 2019 alone.

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What is “Selling Away,” and How Can I Avoid It?

Selling away occurs when a financial advisor sells securities not held or offered by his or her brokerage firm.

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Why It’s Important to Diversify Your Investment Portfolio

Diversification is the process of including several types of financial instruments in one’s investment portfolio in order to make it less vulnerable to market fluctuations.

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Common Signs of Investment Fraud

Investment fraud is a common occurrence. Fortunately, there are a number of warning signs that investors can look out for in order to help them avoid becoming victims of investment fraud.

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What Is Securities Fraud?

Securities fraud is a type of white-collar crime that primarily involves misrepresenting information that investors use to make investment decisions.

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What Is Regulation Best Interest, and How Does It Affect Investors?

Regulation Best Interest (BI) is a rule of the Securities and Exchange Commission (SEC) that requires broker-dealers to only recommend financial products that are in the best interests of their customers.

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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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