Blog
June 14, 2022
The Financial Industry Regulatory Authority (“FINRA”) recently released its 2020 Risk Monitoring and Examination Priorities Letter (“priority letter”).
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Investment professionals, such as brokers and financial advisors, are required to deal fairly with their customers. Part of this requirement involves making suitable investments.
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The investment world is full of fraudsters, crooks, and scam artists, and investors must always remain vigilant to keep their investments safe.
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At SIMMS LAW, P.A., we routinely represent aggrieved investors in arbitration before the Financial Industry Regulatory Authority (FINRA), a United States self-regulatory organization. FINRA represents the consolidation of the arbitration
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Investors expect their brokers to help them build portfolios that meet their investment objectives. Diversification, which is the process of investing in a variety of industries, companies
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There are a number of laws, rules, and regulations in place that are intended to protect investors. Unfortunately, however, it is not uncommon for these laws to be violated.
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The Financial Industry Regulatory Authority (“FINRA”) is responsible for regulating financial professionals and brokerage firms. FINRA’s rules guide the conduct of its members, and these rules include requirements that firms supervise their brokers and financial advisers.
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Investment fraud affects scores of investors every year, often leaving them in dire financial straits. However, if you’ve been the victim of investment fraud, there are a number of things you can do to limit or eliminate your losses.
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Most interactions between investors and investment professionals are positive. However, when a problem occurs that the parties can’t resolve on their own, further measures are sometimes needed.
Read MoreJune 14, 2022
The Financial Industry Regulatory Authority (FINRA) recently released its annual Risk Monitoring and Examination Priorities letter.
Read More