How to Know if Your Financial Advisor is a Fiduciary Is your financial advisor a fiduciary? Fiduciaries have a legal obligation to act in the[...]
Securities & Investment FAQ
Recovering CLO losses after the recent stock market crash STOCK MARKET CRASH NOTICE: The Sonn Law Group has spoken to folks who’ve suffered extreme losses[...]
FINRA Rule 2080 The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees the securities industry. Under FINRA rules, when a customer files[...]
Do you suspect that your broker or advisor make unauthorized trades in your account? Your broker cannot sell your securities without getting permission from you.[...]
FINRA Rule 5270 Overview FINRA rule 5270 is one of a series of regulations that helps to ensure that brokers and market makers execute transactions[...]
Selling Unregistered Securities – Is It Legal? Selling (or offering) unregistered securities to public investors is a serious form of broker misconduct. Before stocks, bond[...]
What Investors Need to Know About the Most Common Forms When you invest, you are accepting certain risks. The market is inherently unpredictable, and there are[...]
How to Check Your Financial Advisor’s Professional Background When you’re searching for a financial adviser, or when you’re having issues with your current advisor, it’s[...]
If you were a victim of stockbroker fraud or broker negligence, you are entitled to full and fair compensation for your financial damages. Unfortunately, actually[...]
Elder financial abuse is a serious problem in the United States. According to the Administration for Community Living (ACL), senior citizens lose more than $2.6[...]