FINRA Arbitration Archives – Page 20 Of 21

Do I need an Attorney to Represent Me in a FINRA Arbitration Case?

Although the majority of professional relationships in the financial services industry are very positive, there are instances where a relationship between an investor and an investment professional do not go as planned. If those instances result in unnecessary damages or loss for the investor the dispute may need to be resolved in FINRA mediation (a […]

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Asset Allocation – Does the traditional rule of thumb still apply?

According to many financial publications and pundits, one of the most significant decisions an investor and/or financial advisor will make in their portfolio strategy is in determining the overall asset allocation. Perhaps in an effort to simplify (or oversimplify) this decision, some may refer to a traditional rule of thumb and cite to a rule

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2017 Stock Market Results – Did You Invest In The Losers?

The overall markets and indices were up for 2017, and for some, the rising tide may be floating all boats. If you are an investor and your portfolio is not reflecting the positive results that you would have expected given the market performance, it might make sense to review with your financial advisor the big

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Investment Loss Recovery – What About Unrealized Losses

Published in the Palm Beach Daily News on January 7, 2018 With financial markets at or near an all-time high level and the 2008/2009 Financial Crisis in the rear-view mirror, many investments and portfolios are performing well. However, certain investments and asset classes have not performed well in recent years and continue to suffer significant

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Will the Recent Election Impact Your Investment Portfolio?

As of now it is pure speculation as to what (if any) policies the new administration might offer could serve to impact investor portfolios. As a recent presidential candidate, Donald Trump has made reference to a market bubble and plenty of commentators have noted that a rise in interest rates could potentially result in a

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