Blog

June 14, 2022

As a financial advisor, you understand that every investment carries a certain degree of risk. And although you disclose the potential risks of different investments to your clients, some will ultimately pursue legal action against you for their losses,

June 14, 2022

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.

June 14, 2022

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

June 14, 2022

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.

June 14, 2022

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

June 14, 2022

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.

June 14, 2022

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.

June 14, 2022

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.

June 14, 2022

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

June 14, 2022

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.