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Investment Scam Avoidance Tips from the SEC

The Securities and Exchange Commission (“SEC”) periodically issues alerts to warn investors of scams and other fraudulent activity.

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Investor Victories in FINRA Arbitration Cases Are on the Rise

Despite a decline in FINRA arbitration cases in the first half of 2019, customer victories have increased. This is good news for investors who’ve been defrauded by financial professionals.

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How Investors Initiate Claims with FINRA

The Financial Industry Regulatory Authority (FINRA) regulates securities firms and professionals in the United States.

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How to Choose an Investor Representation Attorney

Investing can be risky, with investors standing to lose a great deal of money when things go wrong. However, investment losses are not always due to market swings or bad luck.

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FINRA Issues Guidance to Broker-Dealers on Coronavirus

In wake of the global coronavirus outbreak, the Financial Industry Regulatory Authority (“FINRA”) recently issued guidance to broker-dealers on preparing for risks associated with the pandemic.

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FINRA Takes Steps to Amend Records Expungement Process

With the help of the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) recently announced that it is preparing to revise its rules for the records expungement process.

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Tips for Avoiding Investment Fraud

Risk is an inherent part of investing. However, one risk that investors often overlook is fraud. Investment fraud is, unfortunately, a common occurrence.

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Can I Sue My Financial Advisor for Investment Losses?

When you rely on your financial advisor for investment advice, you do so with the belief that he or she has your best interests in mind.

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FINRA Has Its Eyes on The Cryptocurrency Market

In a recent regulatory notice, the Financial Industry Regulatory Authority (FINRA) announced plans to increase its oversight of the digital currency market due to concerns about fraud

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Are You at Risk for Investment Fraud?

Investment fraud is a serious problem. Each year, countless individuals trust their finances to investment advisors and other financial professionals only to find their savings wiped out and their futures ruined.

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