Month: March 2021

What smaller investors should know about FINRA

On Behalf of Valenti Hanley PLLC | Mar 16, 2021 | FINRA, Representing Investors, Securities Law And Litigation

Many people in the U.S. use stocks, bonds and other securities as major investment vehicles to help finance important personal and family goals. These retail investors – meaning individual, private, nonprofessional and noninstitutional investors – often turn to...

Retail investors at risk of financial loss from securities fraud

On Behalf of Valenti Hanley PLLC | Mar 4, 2021 | FINRA, Securities Law And Litigation

Owners of small, family businesses and individuals at various levels of wealth often invest their money in stocks to secure their futures and protect their families. The unfortunate truth is that these retail investors face some risk of becoming the victims of...