by Broker Fraud | Aug 26, 2020 | FINRA Arbitration, Securities Fraud
Morgan Stanley Fined by FINRA for Failing to Supervise a Registered Representative There are some investments that because of their upfront sales charges are only advantageous to investors if they are held for a long-term. On August 12, 2020, the U.S. Financial...
by Broker Fraud | May 22, 2020 | FINRA Arbitration, Securities Fraud
Securities markets need broad public confidence in their integrity to function correctly. Without confidence in the markets, trading securities would entail an unacceptably high level of risk with untold consequences. Because most of the world’s investors believe that...
by Broker Fraud | Apr 23, 2020 | FINRA Arbitration, Securities Fraud, Securities Litigation
As we navigate and muddle through the calamity of the Corona Virus black swan (an unforeseen, unexpected event), we must assess (1) where our stock portfolio value is at and (2) why. Is the value lost acceptable considering the black swan or is the loss in value...
by Broker Fraud | Sep 30, 2019 | FINRA Arbitration, Securities Fraud
SEC Charges Spartan Securities Group and Island Capital Management with Creating and Selling Fraudulent Companies In recent years, the micro-cap market has seen increased scrutiny by the Securities and Exchange Commission (SEC). On February 20, 2019, the SEC filed a...
by Broker Fraud | Dec 11, 2018 | FINRA Arbitration
It has often been advised by many financial service industry leaders, including the U.S. Securities and Exchange Commission (SEC), that prior to making any investment decision, investors need to research the broker who is pitching the investment. One of the most...
by Broker Fraud | May 10, 2018 | FINRA Arbitration
Finding out if your investment professional is legitimate has gotten a whole lot easier since 2009, when the U.S. Securities and Exchange Commission debuted a free search tool which provides investors with a quick and easy way to check out the background of their...
