When a registered broker-dealer or investment advisor leaves a firm for any reason, the reason is submitted to the appropriate jurisdiction and self-regulatory agencies, including the Financial Industry Regulatory Authority (FINRA). That means that future employers...
If you believe that a broker or brokerage firm has treated you unfairly, you may have a claim for money damages. Depending on your exact situation, you may wish to seek damages in arbitration through the Financial Industry Regulatory Authority (FINRA). FINRA is a...
When you’re ready to invest, the advisor you choose will have a big impact on how well your investments perform. How do you know you’re choosing someone qualified, legitimate and honest? Here are five questions you can ask to get through the marketing fluff: Are you a...
The SEC recently charged the founder and chief investment officer at Infinity Q Capital Management with a massive over-valuation scam. The man allegedly pocketed millions in fees by overvaluing its private fund and mutual fund and masking their real performance. The...
The perception held by much of the United States is that Colorado is a marijuana free-for-all, that anyone can freely sell marijuana in the streets with impunity. However, anyone running a dispensary or any kind of marijuana business in the state knows the strict...
