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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 […]
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 […]
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 […]
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 […]
Ever wondered how financial disputes get settled without stepping into a courtroom? That’s where FINRA arbitration comes in. It’s like a courtroom drama, minus the drama. Instead of a judge, you’ve got arbitrators. And instead of a lengthy trial, you get a process that’s quicker and often less costly. This guide will walk you through […]