FINRA Arbitration Archives – Page 2 Of 21

How Broker Fraud Lawyers Can Help You Recover Your Investment Losses

Investment fraud costs Americans billions of dollars each year. Many victims never get their money back because they don’t know their legal rights. The Securities and Exchange Commission filed 862 enforcement actions in fiscal year 2019 alone. They recovered over $1.2 billion for harmed investors through proper legal channels. Most investors think they have no […]

How Broker Fraud Lawyers Can Help You Recover Your Investment Losses Read More »

Expert FINRA Arbitration Attorneys For Resolving Financial Disputes

Have you ever felt that sinking feeling when you check your investment account and see unexpected losses? You’re not the only one facing this. According to the Federal Trade Commission, consumers reported losing $5.7 billion to investment scams in 2024, a 24% increase from the previous year. We understand how overwhelming it is when your

Expert FINRA Arbitration Attorneys For Resolving Financial Disputes Read More »

FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid To Clients Overcharged For Mutual Funds – Funds Society

FINRA fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for violations linked to mutual fund sales charge waivers. The fine is part of a settlement involving overcharging practices that date back to 2006. Merrill Lynch failed to offer the lowest-cost share classes to eligible customers like certain charities and retirement accounts. As investors,

FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid To Clients Overcharged For Mutual Funds – Funds Society Read More »

Ultimate Guide To Financial Advisor Background Check

A financial advisor background check means looking into the history, credentials, and regulatory record of the person managing your money or giving you investment advice. Many experts agree this step is essential for every investor because it can help protect you from scams and unsuitable recommendations. Across the United States, FINRA’s BrokerCheck lets you see

Ultimate Guide To Financial Advisor Background Check Read More »

FINRA fines Independent Financial Group $100,000 — a detailed look for investors and advisors

FINRA recently sanctioned Independent Financial Group LLC (IFG) with a $100,000 fine and a censure after finding the firm allowed a suspended registered representative to continue conducting activity from April through November 2022. IFG agreed to the settlement without admitting or denying the findings and waived any defense based on inability to pay. Below is

FINRA fines Independent Financial Group $100,000 — a detailed look for investors and advisors Read More »