Ah, the golden years! A time for relaxation, reflection, and… financial exploitation? Sadly, that’s been the case for some seniors. But FINRA (Financial Industry Regulatory Authority) is stepping up to ensure that our beloved seniors aren’t taken for a ride by those they trust with their finances. The Heart of the Matter Recently, FINRA rolled […]
Protecting the Golden Years: FINRA’s New Rule to Shield Seniors Read More »
Investing can be a complex process, and it’s crucial to have knowledge about the people overseeing your investments. Did you know that the Georgia Securities Division plays a vital role in regulating these securities activities statewide? Today’s blog post will demystify this body’s critical responsibilities, including protecting against investment fraud and promoting financial literacy among
In the intricate world of finance, overlooking something as vital as supervision can have disastrous consequences. With about 30% of all cases involving regulatory violations resulting in revocations from supervision, it becomes clear how critical proper oversight is for a smooth, functioning financial ecosystem. This article aims to unravel what ‘failure to supervise’ means in
Failure to Supervise: Stockbroker Misconduct or Actions Lead to Investment losses 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 »