Blog
August 13, 2024
Arbitration agreements are crucial for resolving client disputes for Registered Investment Advisors (RIAs). While many RIAs currently use the American Arbitration Association (AAA) as their arbitration forum, this article suggests considering the Financial Industry Regulatory Authority (FINRA) arbitration. FINRA’s comprehensive procedural framework, cost efficiency, and structured approach will be highlighted. By comparing FINRA’s Code of […]
Investment losses can be a hard pill to swallow. Especially when they are a result of broker misconduct or negligence. If you’ve worked with a Summit Brokerage Services broker and faced financial losses, you’re not alone. Many investors have found themselves in similar situations. This article aims to guide you through the process of seeking […]
In investing, two primary factors drive decision-making: risk and return. How a stockbroker prioritizes these elements can significantly impact an investor’s portfolio. Understanding the balance between risk and return is essential for making informed decisions and protecting investments. In this article, we’ll explore the importance of risk assessment, the role of portfolio risk, and what […]
August 12, 2024
Navigating the investing world can be daunting, especially when faced with the critical balance between risk and return. Understanding this relationship is essential for investors, whether seasoned professionals or newcomers to the financial landscape. This guide will teach us how to balance risk and return on investments. We will provide strategies and tips to help […]
Understanding the Financial Industry Regulatory Authority (FINRA) sanctions guidelines is crucial as a stockbroker. These guidelines help ensure fair and transparent markets while protecting investors. This blog summarizes the essential aspects of the FINRA Sanctions Guidelines, focusing on what stockbrokers need to know to navigate and comply with these regulations. What is FINRA? FINRA is […]