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For financial advisors, understanding the intricacies of regulatory frameworks is essential, particularly when addressing the expungement of customer disputes. At the heart of this process is FINRA Rule 13805, a crucial regulation that significantly impacts financial advisors by shaping their professional records and reputations. This rule is of particular importance when it comes to alleged […]
The Financial Industry Regulatory Authority (FINRA) is a cornerstone of the financial industry, tasked with overseeing brokerage firms and their registered representatives to ensure compliance and protect investors. One of its essential functions is offering a dispute resolution platform through FINRA arbitration, a process that provides a faster, less formal alternative to traditional courtroom litigation. […]
If you’re a California financial advisor who left Ameriprise Financial to join LPL Financial and now find yourself facing a lawsuit for allegedly taking client information, you’re not alone. In recent months, many brokers – especially in California – have been sued by Ameriprise in FINRA arbitration after making the switch to LPL. These lawsuits […]
In an age where online reviews influence everything from what we eat to where we vacation, it’s only natural for investors to want similar transparency when choosing a financial advisor or broker. That’s where FINRA’s BrokerCheck tool comes in—a powerful, free resource that lets you vet investment professionals and firms before you trust them with […]
The stock market is a dynamic ecosystem where prices fluctuate daily, sometimes dramatically. These fluctuations—whether small daily changes or sudden, extreme shifts—are known as stock market volatility. While stock market volatility is a natural part of market behavior, it can be unsettling, particularly during periods of economic uncertainty or financial downturns. For investors, understanding what […]