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...
Securities Law And Litigation
Holding securities firms accountable in financial adviser disputes
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...
What evidence can you get from the other side in a FINRA arbitration?
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...
5 things to ask your investment advisor
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...
SDIRA investment in family companies would shrink under BBB Act, part 2
In part 1 of this post, we described self-directed individual retirement accounts (SDIRAs) and how they differ from traditional individual retirement accounts (IRAs), including ROTH IRAs. Broadly, traditional IRAs invest in conventional products like stocks, mutual...
Bill would restrict SDIRA investment in closely held companies, part 1
On Nov. 19, 2021, the U.S. House of Representatives passed the Build Back Better Act using the budget reconciliation process. Reconciliation rules would allow the Senate to follow suit with a simple majority, which would require every Democrat to say yes to create a...
4 common problems that arise with investment advisors
If you are an investor, you know the importance of investment managers, investment advisors and other financial consultants. These are the people who are given you their presumedly expert advice regarding how to manage your investments to minimize risk and maximize...
What should investors know about REITs?
A real estate investment trust (REIT) is an investment option that closely resembles a mutual fund. However, rather than compiling shares of securities, these funds invest in real estate properties. How does a REIT work? While in a mutual fund, the success of the...
FINRA examines broker-dealer handling of options accounts
When individual investors engage in options account trading, the potential for monetary gain is there, but also risk of financial loss. Because options trading can be more complex than some other kinds of investment, retail (individual) investors may elect to rely on...
Would a private placement be a good option for raising capital for your business?
Of course, many new businesses incorporate, and private companies go public by raising capital through public offerings of equity shares in their corporations – usually of stock. However, while going public may be the right decision for many businesses, federal...