Losing your retirement money to a margin call can feel terrible. You might wonder if you can hold your broker responsible. Margin agreements usually let brokers sell your holdings without advance notice. However, you might have a claim if your broker broke industry...
Investment professionals often feel fiercely protective of their clients. They may even feel a personal obligation in scenarios where investment losses reduce their clients’ portfolios. Some professionals, trying to keep their clients and do right by them, might move...
As of January 1, 2025, Kentucky has officially legalized medical cannabis, marking a significant shift in the state's approach to cannabis regulation. This change, brought about by Senate Bill 47 (SB 47), opens up new opportunities for new and existing cannabis...
Whether you’re an inventor, involved in research and development, or simply a sports fan, here’s a juicy story about intellectual property litigation and Major League Baseball. Nationally prominent sports psychologist and throwing coach Tom House had to take a...
Disputes between financial advisers and their employers are often complex. Broker-dealer and registered investment adviser (RIA) firms often entice financial advisers to join their organizations through sign-on bonuses and opportunities for higher earnings. That’s...
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...
