Did Your Investment Advisor Breach their Fiduciary Duty? You May Be Entitled to Financial Compensation for Your Losses Investment professionals owe certain legal duties to[…]
Basics
When you hire an investment representative, you want to be sure that you have selected someone who is truly qualified for the job on your[…]
Fiduciaries have a legal obligation to act in the best interests of their clients. Under the Investment Advisers Act of 1940, registered investment advisors (RIAs)[…]
Sadly, hard-working investors lose a tremendous amount of money to illegal pyramid schemes. A pyramid scheme (or pyramid scam) is a relatively common form of[…]
Unfortunately, investment fraud remains a common problem. According to a recent study cited by CNBC more than 20 percent of all registered investment advisors have[…]
Yes, you can file a claim against your stockbroker or financial advisor. Registered financial advisors operate under a number of securities laws and financial industry[…]
As an investor, you have no doubt heard the phrase “don’t put all of your eggs in one basket.” Most investors have a general understanding[…]
Unfortunately, there may come a time in which you find yourself in a serious disagreement with your broker or your brokerage firm. When a legal[…]
If you turn on any of the most popular investment news channels, you have no doubt heard plenty about hedge funds. Over the last decade,[…]
What is Selling Away? Selling away occurs when a broker inappropriately sells securities that are not offered or overseen by their member brokerage firm. In[…]