News

Does FINRA Regulate Cryptocurrency?
Does FINRA Regulate Cryptocurrency?
12 February, 2024

Since there is a lot of money to be made in cryptocurrency, broker-dealers have used less than wholesome tactics. Young …

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Guide to the FINRA Discovery Process
Guide to FINRA’s Discovery Process
7 February, 2024

Your brokerage agreement requires you to go through the arbitration process to get compensation from your broker for misconduct. Although …

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Can a Stockbroker Steal Your Money?
Can a Stockbroker Steal Your Money?
5 February, 2024

The answer to whether a stockbroker can steal your money is an emphatic no. There are times when brokers may …

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Selling Away Examples
Examples of Selling Away to Watch For
2 February, 2024

Brokers are only allowed to sell you securities that their firm offers. Some brokers may offer you investments not offered …

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Pacific Life IUL Lawsuits
Pacific Life IUL Lawsuits
30 January, 2024

You may have purchased an indexed universal life insurance product from Pacific Life based on the representations that sales representatives …

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couple meeting with financial advisor
Can You Sue Your Financial Advisor or Broker for Losses?
3 October, 2023

When a broker or investment advisor costs you money, you have the legal right and ability to take action. However, …

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Aftermath of High-Profile Investment Fraud Case Includes Seizing Assets
17 July, 2023

Federal authorities have seized nearly $320,000 and two vehicles from Black Harbor Wealth Management founder Chris Dixon and his wife …

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Rikard & Protopapas Featured for Their Work Recovering Millions for Investment Fraud Victims
17 May, 2023

Hundreds of people around the country fell victim to an investment fraud scheme that used Indexed Universal Life “IUL” insurance …

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