Month: July 2023

There has been a substantial increase in the number of financial advisers foregoing registration with FINRA as a registered representative in favor of becoming an investment adviser – an RIA.  Depending on the structure of the firm and the size of the assets under...

You’ve suffered financial losses as a result of misconduct from your financial advisor.  Whether those losses were the result of an unsuitable recommendation, undisclosed risks or unauthorized trades, you need to consult an attorney to recoup your losses from the...

In 2023, FINRA’s significant changes to its expungement procedures will be implemented, making the permanent removal of a customer complaint or arbitration from a broker’s record much more difficult to obtain from a FINRA arbitration panel. While the three limited...