FINRA arbitration can help investors recover losses, but results depend on preparation and strategy. Our attorneys conduct a detailed case review, draft a fact-rich Statement of Claim, and manage arbitrator selection, discovery, mediation, and hearing presentation. We focus on evidence, deadlines, and damages analysis so clients know what to expect from start to award today.
Continue ReadingDiscretionary accounts let an advisor trade without prior approval, offering speed and flexibility but often higher minimums and annual fees. Non-discretionary accounts require your consent for each trade, giving you greater control but slower reactions to opportunities. Regardless of account type, brokers must act in your best interest and match your goals and risk tolerance.
Continue ReadingIf you suspect a financial advisor stole money from your account, you may have options to recover losses. This guide explains advisors’ fiduciary duties, when theft versus poor performance creates a claim, and causes of action like negligence, breach of fiduciary duty, and failure to supervise. Learn next steps: review agreements, mediation, arbitration, or lawsuits.
Continue ReadingFINRA regulates broker-dealers and conducts routine and cause-based examinations to check compliance with industry rules. Examinations may stem from complaints, disclosures, or risk signals and focus on capital adequacy, supervision, and sales practices. Brokers should understand their obligations and seek legal counsel, as FINRA’s jurisdiction and procedures can lead to serious disciplinary consequences.
Continue ReadingIf you suspect broker misconduct, filing an SEC investor complaint can help regulators investigate and protect other investors. The form asks for your contact details, broker information, investment type, a brief narrative, and any steps you have already taken. An attorney can organize evidence, manage confidentiality, and pursue recovery through arbitration or litigation when warranted.
Continue ReadingA broker CRD number is a unique identifier assigned through FINRA’s Central Registration Depository, used to confirm a broker or firm and review key background details. With it, investors can search BrokerCheck to see employment history, exams, licenses, customer complaints, and regulatory actions. Reviewing disclosures helps you decide whether to proceed or seek counsel today.
Continue ReadingA CFTC subpoena is a demand for documents or testimony in a Commodity Exchange Act investigation. Recipients may get no warning, and noncompliance can lead to court enforcement and contempt. The CFTC’s powers are extensive and information may be shared with prosecutors. Preserve records, issue a litigation hold, consult counsel, and consider narrowing or quashing.
Continue ReadingSolicited trades are transactions a broker recommends; unsolicited trades are those an investor proposes. That distinction matters because liability often turns on who initiated the idea when losses occur. Brokers must evaluate suitability under FINRA Rule 2111 and accurately mark order tickets. Reviewing trade confirmations and promptly disputing errors can help protect investors from misconduct.
Continue ReadingAn SEC Wells Notice is a warning that enforcement staff may recommend charges, not a finding of guilt. The notice outlines potential violations and gives time to submit a Wells Submission. Public companies may choose whether to disclose, but registered broker-dealers and advisers must report it on Form U4. Act quickly with counsel right away.
Continue ReadingStructured products can promise attractive returns, but their complexity and risks can leave investors with significant losses. This page explains what structured products are and offers tips for hiring an investment lawyer: look for product familiarity, risk knowledge, FINRA arbitration experience, understanding of FINRA rules, personal fit, proven results, and strong professional reputation nationwide guidance.
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