Your margin positions have been liquidated to meet a margin call despite the fact that you and the brokerage firm had established a pattern of meeting such calls extending to a longer period of time than was set forth in the margin agreement that you signed. Or your...
Month: October 2024
read more
Fraudulent Transfer of Customer Funds
You return from a well-deserved vacation, relaxed and in a great mood. But that changes dramatically when, a few days later, you happen to check your online brokerage account and discover that all of your securities have been sold and all of the proceeds have been...
Arbitrating a Registered Investment Advisor at the American Arbitration Association and JAMS
Over the past years, brokers have shifted their association from brokerage firms regulated by FINRA to investment advisory firms that are not regulated by FINRA. Their business model has changed from commission-based transactions (after speaking with you to get your...