The seriousness of an allegation against a registered representative can have far-reaching implications, especially for investors. Recently, the U.S. Securities and Exchange Commission (SEC) has alleged that Michael Hamilton, a broker and investment advisor currently associated with Centaurus Financial, Inc. (CRD 30833), may have violated Rule 151-1(a) of the Securities Exchange Act of 1934, known […]
BrokerCheck is a free tool from FINRA that helps you research investment professionals and firms. It lets you search by name, number, or zip code to find detailed reports about their history, qualifications, and any problems they’ve had. This service is great for checking the background of people in the securities and exchange industry. Knowing
Navigating FINRA Broker Check: Everything You Need to Know Read More »
Securities are the building blocks of the financial world. Just like how we use different tools to build a house, investors use various types of securities to build their investment portfolios. Understanding the basics of securities is crucial for anyone who wants to navigate the complex world of finance and make informed investment decisions. As
Understanding The Basics Of Securities: Types, Examples, And Importance In Finance Read More »
Investors are often faced with a myriad of challenges in their quest for financial growth. One such challenge is the potential malpractice by financial advisors, which can result in significant losses. A case in point is the pending customer dispute involving Nicholas Conturso of MORGAN STANLEY SMITH BARNEY, also known as MORGAN STANLEY (CRD 149777).
How Nicholas Conturso’s Morgan Stanley Alledlegy Lost a Client $75,000 Read More »
Navigating the ever-evolving regulatory landscape can be a daunting task for financial firms. The Financial Industry Regulatory Authority (FINRA) is the governing body responsible for setting Rule 4530. FINRA Rule 4530 sets reporting requirements that firms must adhere to. This blog post will guide you through understanding these requirements and devising compliance strategies. Haselkorn &
Understanding FINRA Rule 4530: Reporting Requirements And Compliance Strategies Read More »