Understanding FINRA Discovery Rules Discovery is the foundation of every successful legal case. As explained most simply by the American Bar Association (ABA), discovery is[...]
Securities & Investment FAQ
The Puerto Rico bond default has resulted in unfortunate (and largely avoidable) financial losses for far too many innocent investors. The crisis dates back several[...]
Washington D.C., March 27, 2017 — The Securities and Exchange Commission today announced an emergency asset freeze and temporary restraining order against a Chicago-based investment[...]
What is FINRA Rule 2010? FINRA Rule 2010 is perhaps the single most important securities industry regulation. The rule requires that all industry members conduct[...]
What is FINRA Rule 2150? The Financial Industry Regulatory Authority (FINRA) is a non-governmental body that is tasked with self-regulating firms and individuals in the[...]
When you open up a new account with a brokerage firm, one of the first things you need to know is whether your account is[...]
Often, people use the terms ‘Ponzi scheme’ and ‘pyramid scheme’ interchangeably. This is certainly understandable, as these two forms of investment fraud share key features.[...]
In the United States, a financial broker must obtain a license before they can legally sell securities. Likewise, a brokerage firm must be properly licensed[...]
Senior citizens must be protected from unnecessary investment losses. Sadly, many fraudsters intentionally target vulnerable senior citizens. The Financial Industry Regulatory Authority (FINRA), the organization[...]
Older Americans control a significant portion of the wealth in this country. They also frequently have fears about the future of their investments and their[...]