You want to put your money to work for you and see it grow, not squirrel it away. Investing in the financial markets can be highly rewarding, giving you an opportunity for more wealth creation and true financial security. But what happens when your investment advisor...
Representing Investors
How to keep investments private
Investments are crucial for individuals who want to secure their financial future. However, some people prefer to keep their investments private. There are several reasons why someone would like to do this, for example: Not drawing attention to their wealth Protect...
FINRA finds Webull approved inappropriate customers for options trading
Do you understand options trading? Most people have little to no idea what it is. Only experienced, knowledgeable investors are in a position to understand the risks and potential benefits. The Financial Industry Regulatory Authority (FINRA) recently announced a...
Why me? I’m not a fool. Securities fraud affects sophisticated people
If you think you were taken in by securities fraud, you’re probably right. Unfortunately, it happens a lot. It happens to smart people. It happens to people who are sophisticated and well-educated. It happens to a really wide range of people young and old, wealthy and...
Can I sue my financial advisor for lost money?
Yes. Specifically, if your advisor was licensed through the Financial Industry Regulatory Authority (FINRA), you can file an arbitration claim to get some or all of your money back. Whether your claim will succeed depends on exactly what happened. All investments...
I was sold an inappropriate investment. Do I have any recourse?
You may. If a registered broker-dealer or investment adviser sold you an investment that went against your risk profile and you lost money, they may have violated their legal duty to you. You may be able to get your money back via mediation or arbitration through the...
Working to end the culture of victim-blaming after financial frauds
Experiencing financial fraud of any kind can be demoralizing. We tend to see the fraud all at once as a sort of revelation. It suddenly dawns on us that we have been defrauded. You can almost feel the blood rushing from your head. Far too many investors blame...
Dispute about an investment? Does your contract require arbitration?
Investors sometimes get into disputes with their broker-dealers over how their money has been invested. Your broker may have gone against your wishes, for example, by trading against your established investment plan. Or, your broker may have recommended an investment...
FINRA arbitration data now includes Reg BI disputes
The Financial Industry Regulatory Authority (FINRA) publicly posts statistics about the arbitration proceedings held under its auspices. As of this writing on August 5, the 2022 numbers are available through June, providing an interesting overview of the kinds of...
3 ways to address complaints against financial advisors
Investing is risky. As an investor, you shoulder most of the risk, and there are no guarantees that you’ll see a return on your investment. Even losing money due to a financial advisor’s bad advice isn’t enough to take legal action as long as they follow government...