Blog

June 14, 2022

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

June 14, 2022

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.

June 14, 2022

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

June 14, 2022

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.

June 14, 2022

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.

June 14, 2022

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

June 14, 2022

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.

June 14, 2022

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

June 14, 2022

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

June 14, 2022

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.