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Many investors believe their broker acts alone. They picture one person making decisions, placing trades, and giving advice. When something goes wrong, they assume only the broker is to blame. That is not how the system is supposed to work. Why Are FINRA Firms Responsible to Supervise Their Financial Advisors? Brokers do not operate on […]
Most investors believe every investment their broker recommends has been approved by the firm. They assume the firm knows about the deal. They believe there are checks in place. That belief feels safe. It also feels reasonable. In many selling away cases, it is wrong. What is Selling Away Under FINRA Rules? Selling away happens […]
Many investors believe that frequent trading means their broker is working hard. They see activity. They see buys and sells. They assume attention equals care. That belief often causes harm. What is Excessive Trading? Excessive trading happens when a broker trades too often in an investor’s account without a valid reason. Churning is a specific […]
For many investors, FINRA arbitration is unfamiliar territory. Yet for most disputes involving brokerage firms and financial advisers, arbitration is the primary forum for resolving claims. Understanding what makes the process fair is essential to maintaining confidence in a system that plays a central role in investor protection. But What Makes a FINRA Arbitration Fair? […]
Most investors believe their broker will be honest with them. They expect clear answers. They assume important details will be shared before decisions are made. That expectation is reasonable. It is also protected by rules. What is Misrepresentation? Misrepresentation happens when a broker says something that is not true. Omission happens when a broker leaves […]