Amy Furuno, a broker now working at Lucid Capital Markets, LLC, faces serious claims from a customer. The complaint asks for $3,350,000 in damages for unsuitable investment advice, mainly about debt securities. This Amy Furuno From Lucid Capital Markets Complaint was filed on September 9, 2024, for actions during her time at Ladenburg Thalmann. The […]
Ladenburg Advisor Amy Furuno Faces $3MM Complaint Read More »
At Haselkorn & Thibaut, P.A., our experienced FINRA Arbitration lawyers help victims of investment fraud and financial advisor malpractice recover their investment losses. The securities industry laws are complex, involving state and federal regulations, firm-specific policies, and various industry standards. The Financial Industry Regulatory Authority (FINRA) is the governing body overseeing the securities industry, authorized
FINRA Lawyer: Recover Your Losses Through Arbitration Read More »
A magnifying glass scrutinizing financial documents, a myriad of people from various walks of life pondering their financial futures, and a looming question in the air: Is Raymond James in trouble due to unreasonable commissions? The question remains as an investigation led by the Massachusetts Secretary of State has reviewed Raymond James’ business practices, and potential
Is Raymond James in Trouble with Unreasonable Commissions? Read More »
What are the fundamental duties of a fiduciary? This is a critical question for anyone entrusted with managing others’ assets, making financial decisions, or upholding the interests of beneficiaries. The duties of a fiduciary—rooted in law and ethics—require utmost care, loyalty, and good faith, all aimed at serving others before oneself. This article breaks down
Essential Duties of a Fiduciary: Trust, Responsibility, and Best Practices Explained Read More »
Understanding how to register with the Financial Industry Regulatory Authority (FINRA) is key for broker-dealer firms. FINRA makes sure that all firms and individuals who want to do business involving securities with the public follow the rules. Broker-dealer firms across America, including various LLCs and Inc., are subject to FINRA’s regulations. These firms have a
Understanding the FINRA Broker-Dealer Registration Process for Finra Broker Dealer Firms Read More »