Free Consultation:
(800) 382-7969
Understanding Stockbroker Negligence and FINRA Arbitration Claims Investing in the stock market carries risks. If a stockbroker is negligent, investors can take legal action to recover their losses. But what exactly constitutes stockbroker negligence, and when can you bring a FINRA arbitration claim? Stockbrokers and advisers owe certain duties to clients. Some breaches of the […]
Investors place a great deal of trust in their financial advisors, expecting them to manage accounts responsibly and in their best interest. However, a recent case involving Stewart “Paxton” Ginn, a veteran broker in California, underscores the importance of vigilance in monitoring investment activities. According to a complaint filed on October 17 by the Financial […]
Understanding Affinity Fraud: A Threat to Investor Trust and Financial Security In the realm of investment scams, one of the most insidious and damaging forms is affinity fraud. This type of fraud exploits the trust within close-knit communities, leveraging shared characteristics, interests, or beliefs to deceive and manipulate victims. While the financial losses can be […]
In the fast-paced and high-stakes world of Hollywood, financial security is paramount. Unfortunately, even the most successful entertainers and executives can fall victim to unscrupulous stockbrokers who mismanage investments or engage in fraud. When this happens, it’s essential to have the correct legal team on your side—one that understands the unique needs of the entertainment […]
If you have had a disclosure on your FINRA BrokerCheck, you know how damaging it can be. It can hurt your reputation, job opportunities, and financial future. A disclosure can prevent you from getting a job as a registered representative. This can feel like FINRA is barring you from the industry. But there is hope. […]