In recent years, companies and investment funds have touted their commitment to ESG – environmental, social and (corporate) governance -- priorities. A commitment to these s something that many investors look for when determining where to put their money. Not...
After the collapse of the cryptocurrency exchange FTX in 2022, many investors came to realize that there was little or no recourse for their losses. Although you can lose money in any type of investment, there are still significant investor protections available in...
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...
We’ve discussed NFTs (non-fungible tokens) before on this blog. They represent, perhaps, an entirely new form of intellectual property. These crypto assets can currently only be traded via blockchain transactions. Their value depends entirely on the buyer’s trust in...
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...
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...
When you have a promising new investment opportunity, it’s tempting to jump on board right away. At the same time, you’re naturally wary of committing to something that might not work out – or worse, something that is a fraud. How can you tell the difference? Here are...
Not legally, they can’t. Investment advisers are allowed to advertise in an effort to draw attention to their services. However, their advertisements are regulated. By law, they can’t be materially misleading and must be fair and balanced. Here are six things these...
If you are well informed, have read the prospectus, have learned about the company and understand the risk, investing in an initial public offering (IPO) could be potentially lucrative. If you are not, it could be a speculative or even inappropriate investment for...
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...
