Broker Misconduct: 10 Common FINRA Violations to Know Table of Contents Toggle Broker Misconduct: 10 Common FINRA Violations to Know 1. Unsuitable Recommendations 2. Churning 3. Unauthorized Trading 4. Misrepresentation and Omission 5. Selling Away 6. Failure to Supervise 7. Unauthorized Outside Business Activities 8. Conversion and Theft 9. Excessive Concentration 10. Switching and Replacement […]

Sue Your Financial Advisor? Grounds, Deadlines, Recovery Table of Contents Toggle Sue Your Financial Advisor? Grounds, Deadlines, Recovery Grounds for Claims Against Financial Advisors 1. Unsuitability 2. Churning 3. Unauthorized Trading 4. Misrepresentation and Omission 5. Breach of Fiduciary Duty 6. Failure to Supervise 7. Selling Away What You Need to Prove 1. Duty 2.

Fiduciary Duty vs. Suitability: What Your Advisor Owes You Table of Contents Toggle Fiduciary Duty vs. Suitability: What Your Advisor Owes You What Is Fiduciary Duty? What Is the Suitability Standard? Regulation Best Interest (Reg BI) Which Advisors Are Fiduciaries? Registered Investment Advisers (RIAs) Broker-Dealers Insurance Agents Hybrid and Dual Registrants The Gap Between Fiduciary

Promissory Note Fraud: The “Safe” Investment That Isn’t Table of Contents Toggle Promissory Note Fraud: The “Safe” Investment That Isn’t What Are Promissory Notes? Legitimate vs. Fraudulent Promissory Notes Legitimate Promissory Notes Fraudulent Promissory Notes How Promissory Note Fraud Works The Setup The Hook The Distribution The Collapse Red Flags of Promissory Note Fraud 1.

Affinity Fraud: Scammers Exploiting Trust in Communities Table of Contents Toggle Affinity Fraud: Scammers Exploiting Trust in Communities What Is Affinity Fraud? How Affinity Fraud Works 1. Infiltration 2. Trust Building 3. The Pitch 4. Social Proof Cascade 5. Expansion and Collapse Common Targets of Affinity Fraud Religious Groups Ethnic Communities Professional Associations Military Veterans