Investing can be a complex endeavor, particularly when you’re not sure if your broker is playing by the rules. Imagine having unauthorized trades made in your investment account without your knowledge – a frightening thought, right? This blog post unpacks the concept of unauthorized trading, shedding light on its various types, consequences, and how to […]
Understanding Unauthorized Trading: What You Need to Know Read More »
Navigating the world of securities disputes can be complex and overwhelming. That’s where FINRA arbitration comes in, offering a streamlined alternative to traditional court proceedings for resolving conflicts in the financial industry. As an essential component of investor protection, understanding this unique process is vital for anyone involved with securities or broker-dealer transactions. Curious about
In deciding whether to award a dispute to a FINRA arbitrator, both parties must agree to the rules of the proceeding. FINRA arbitrators sit in equity rather than law, but they are not required to be attorneys. Because of this, some parties may disagree with their decision and request that an arbitrator is struck. FINRA
FINRA Arbitration vs. Court-Appointed Arbitrators Read More »
Our law firm specializes in representing investors that have lost money due to financial advisor fraud or negligence. One of the best ways for investors to recover losses is through the Financial Industry Regulatory Authority (FINRA) arbitration. FINRA is a private corporation that is a self-regulatory organization for financial advisors, stockbrokers, and broker-dealers. Investors often
Three Steps to FINRA Arbitration for Investors Read More »
At Haselkorn & Thibaut, we continue to see investment losses due to the coronavirus make headlines. Many investments related to oil and energy have lost over 90% of their value. This has lead investors to call us and asking “if they could file a complaint against your financial advisor.” The short answer is, “Yes, you
Complaint Against Financial Advisor For Coronavirus Losses Read More »