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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 […]
Losing hard-earned money due to stockbroker negligence can be devastating for any investor. Navigating the complex world of investments without falling victim to mismanagement or fraud is challenging in a bustling financial hub like Los Angeles. That’s why understanding your rights and the responsibilities of those handling your finances is crucial. A broker’s negligence often […]