Holding the broker-dealer liable: failure to supervise
Your broker-dealer is responsible for the conduct of its advisors.
The new single-stock ETF
Single-stock ETFs: the most recent Wall Street invention.
FINRA warns of small-cap “pump and dump” IPOs.
Small-cap IPOs: recent scams make these questionable investments.
Why non-traded REITs are often losing investments
Non-traded REITs: no comparison to publicly-traded REITs
The life and death of the fiduciary rule
The fiduciary rule goes down in flames. But will Regulation ‘Best Interest’ make up for it?
The high costs of variable annuities
Variable annuities: high fees, high costs, high commissions, low gains.
Does your advisor have you invested in non-traditional ETFs?
Non-traditional ETFs: good for non-traditional (i.e., low) gains.
Can you recover investment losses from excessive trading by your broker? Churning 101.
Churning: one way to bleed your account dry. Look out for it.
Can you recover your investment losses from your brokerage? Unsuitability 101.
Unsuitable investments and poor returns. Your advisor must make suitable recommendations to you.
Investor Arbitrations under FINRA – FAQs
Here are the most common questions asked about FINRA arbitrations.
Is there a difference among people calling themselves “financial advisors”?
Anyone can tell you that they’re a financial advisor. But what is the real difference? We answer that here.
Investment losses less than $50,000? FINRA has a special procedure for that.
Some investors get discouraged if they’ve lost less than $50,000 due to a mismanaged account. They think the costs are too high for an arbitration. But there’s a low cost alternative to recovering your money.
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