Solicited vs. Unsolicited Trades
If your broker has contacted you to recommend a transaction or to get you to place a trade, it is...
Does FINRA Regulate Cryptocurrency?
Since there is a lot of money to be made in cryptocurrency, broker-dealers have used less than wholesome tactics. Young...
Guide to FINRA’s Discovery Process
Your brokerage agreement requires you to go through the arbitration process to get compensation from your broker for misconduct. Although...
Can a Stockbroker Steal Your Money?
The answer to whether a stockbroker can steal your money is an emphatic no. There are times when brokers may...
Examples of Selling Away to Watch For
Brokers are only allowed to sell you securities that their firm offers. Some brokers may offer you investments not offered...
Can You Sue Your Financial Advisor or Broker for Losses?
When a broker or investment advisor costs you money, you have the legal right and ability to take action. However,...
Aftermath of High-Profile Investment Fraud Case Includes Seizing Assets
Federal authorities have seized nearly $320,000 and two vehicles from Black Harbor Wealth Management founder Chris Dixon and his wife...
RP Legal LLC Featured for Their Work Recovering Millions for Investment Fraud Victims
Hundreds of people around the country fell victim to an investment fraud scheme that used Indexed Universal Life “IUL” insurance...