On June 16, 2022, the U.S. Securities and Exchange Commission filed its first complaint alleging violations of the care obligation and the compliance obligation of[...]
Securities & Investment FAQ
The term securities lawyer generally refers to an attorney who focuses their practice on helping clients navigate laws and regulations pertaining to the buying and[...]
The Financial Industry Regulatory Authority (FINRA) was created by law to regulate financial advisors in the U.S. and provide rules of conduct to define ethical[...]
Do you suspect that your financial advisor may be scamming you? In this article, we’ll look at the common ways that financial advisors commit misconduct[...]
Do you believe your financial advisor stole money from you? In this article we’ll look at the common forms of financial advisor theft, and the[...]
Securities litigation can be a confusing, lengthy and all around stressful process. When you are finally able to get the settlement offer that you deserve,[...]
What is Short Selling? In finance, short selling (shorting, a short sale, going short) is a common method that is used to bet against a[...]
FINRA Rule 3210 Overview In April of 2016, the Securities and Exchange Commission (SEC) approved FINRA Rule 3210. The rule actually went into effect as[...]
What is FINRA Rule 2165? FINRA Rule 2165 is a rule that was passed to amend FINRA Rule 4512, which governs how financial brokers can[...]
Misrepresentation By Omission Overview In order to make an informed investment decision, you need to have access to all relevant facts and details regarding a[...]