FAQ

Brokers must register with FINRA and with the states in which they do business or have clients. Financial planners,...

Before hiring an investment professional, I advise all investors to examine the advisor’s background. Either your state securities commission...

Yes. The securities laws cover many kinds of investments: stocks, bonds, private placements, promissory notes, preferred securities, auction rate...

Yes. FINRA rules allow a group of relatives, friends, members of the same congregation or any other group with...

If you believe that your broker or advisor has misled or defrauded you, it is important that you act...

You may have a viable claim depending on the kinds of investments you were sold, documents available from the...

Most brokerage firms require its customers to sign an agreement when they open an account agreeing to take their...

Often elderly and infirm people are seen as “lambs to be slaughtered” by foxes in the securities business. Although...

The securities fraud and other laws have statutes of limitations that require investors to proceed promptly with legal action....

There are primarily four common cases against Investment Professionals. These are as follows: A. Churning. “Churning” or excessive trading...