The different type of mortgages, periods of maturity, rates of interests, and sizes of pools make it difficult for the average investor to analyze the[...]
Securities & Investment FAQ
In the modern world, most brokers and brokerage firms require their customers to sign a customer agreement before entering into a relationship. Typically, that agreement[...]
A registered investment advisor (RIA) is an individual (or broker-dealer) that provides commercial investment advisory services and that is properly registered with either the Securities[...]
Were you a victim of investment fraud? If you were, and you sustained significant financial losses, you need to take action to recover the fair[...]
FINRA Rule 8210 allows FINRA officials to compel industry members, including registered financial advisors and brokerage firms, to cooperate with investigations. Indeed, under the rule,[...]
For many investors, putting money into real estate feels safer than putting it into stocks. In the eyes of some, securities seemingly exist only on[...]
This article was originally published by InvestmentNews.com. The Financial Industry Regulatory Authority Inc. has requested comments as part of a review of its rules that[...]
In general, legal damages are designed to be ‘compensatory’ in nature. This means that victims are entitled to seek a financial recovery that is equivalent[...]
Brokers and brokerage firms each owe their clients a fiduciary duty. This means that they have a professional obligation to always put the best interests[...]
All stockbrokers (also frequently referred to as a ‘financial advisors’, ‘investment advisors’, or simply as ‘brokers’) have fiduciary obligations to their clients. A fiduciary duty[...]