Trusting someone to manage your hard-earned money is a big deal. But what happens when that trust is shattered? Broker embezzlement isn’t just a violation[...]
Securities & Investment FAQ
When you trust a broker with your investments, you expect oversight and transparency to safeguard against unauthorized or high-risk transactions. However, some brokers engage in[...]
Making the choice to expose corporate deceit and wrongdoing is an honorable act of integrity. Whistleblowers play a vital role in today’s legal landscape by[...]
Most people understand that investing comes with inherent risks. Investment loss recovery refers to the legal process of reclaiming funds lost due to issues like[...]
Among the numerous rules that guide securities firms, FINRA Rule 4512 stands out for its focus on customer account information. This regulation outlines how firms[...]
If you believe your financial advisor has committed wrongdoing, taking swift action is important to prevent further harm and ensure justice is served. Filing a[...]
Understanding the difference between solicited and unsolicited trades is crucial for investors. This knowledge not only impacts investor protection but also plays a significant role[...]
The Securities and Exchange Commission today announced charges against Michael J. French, of Pendleton, South Carolina, and two companies controlled by him, MJF Holdings, LLC[...]
If you’ve suffered significant investment losses as the result of securities fraud you should consult with an SEC attorney about your case. A qualified securities[...]
Trusting a financial advisor or broker with your economic well-being is a significant decision, and most professionals in this field handle their responsibilities with diligence[...]