broker-dealer

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What to Ask When a Stock Broker Changes Firms

When a stock broker or financial advisor moves from one firm to another, their clients will usually follow them.  However, the clients will often have […]

A Penny for Your Penny Stocks

The Financial Industry Regulatory Authority (FINRA) recently fined a Minneapolis broker-dealer $1 million for not properly supervising its large penny stock business. The action charges that […]

By |September 25th, 2014|Categories: Scams|Tags: , , , , , , , , |0 Comments

Is Your Investment Loss Claim Eligible for Arbitration?

FINRA arbitration provides an efficient and cost-effective way for investors to resolve their investment loss claims. Discovery is streamlined, and dispositive motions such as motions […]

When Objective Investment Advice Isn’t

Your account is a brokerage account and not an advisory account. Our interests may not always be the same as yours. Please ask us questions […]

Investor Alert: Barron’s “Top 1,200 Financial Advisors”

Barron’s magazine has once again published one of its “top” financial advisors list. In it’s most recent list (April 28, 2014) , Barron’s proclaims that the […]

Come Selling Away, Come Selling Away with Me

Selling away occurs when a broker invests a client’s money without going through the brokerage firm that he is employed with. It is one of […]