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Equity Indexed Annuities: The 7 Critical Questions You Need to Ask

Equity indexed annuities (EIAs) have become a popular investment option for those seeking a balance between market growth potential and financial security. While these financial products are often marketed as a safe way to grow your savings, they come with significant risks and complexities that many investors overlook. Understanding the potential pitfalls of equity indexed […]

Victim of Stockbroker Investment Fraud?

Ever feel like your stockbroker isn’t looking out for your best interests? Maybe they’ve made some sketchy moves with your investments, and now you’re worried you might be a victim of stockbroker investment fraud. It’s a tough spot to be in, especially if you’re not sure what your next step should be. That’s where understanding […]

Text Messaging Compliance – Critical Impact For Firms and Investors

In today’s digital world, text messaging has become a common way for stockbrokers to communicate with their clients. But with this convenience comes responsibility. Brokerage firms must follow strict rules to record and check all business-related messages. If not, investors might find themselves at risk of fraud or negligence. This article dives into how text […]

FINRA Fines Spartan Capital Securities, LLC

Spartan Capital Securities, LLC (CRD #146251, New York, New York), John Dennis Lowry (CRD #4336146, New York, New York), and Kim Marie Monchik (CRD #2528972, Hazlet, New Jersey) The firm, Lowry, and Monchik appealed a National Adjudicatory Counsel (NAC) decision to the Securities and Exchange Commission (SEC). The firm was censured, fined $600,000, and required […]

Understanding Suitability Obligations

Ever wondered what suitability obligations are all about? In the world of securities, these rules are super important. They ensure that brokers recommend investments appropriate for their clients. This isn’t just about making money. It’s about keeping things fair and honest. Understanding these obligations can be a game changer for investors in Los Angeles, especially […]