News | Weltz Law

recent news

November 10, 2026

What Goes Into a FINRA Statement of Claim?

What Goes Into a FINRA Statement of Claim? A FINRA Statement of Claim is the written document that starts a FINRA arbitration. It tells the story of what happened in the account, names the broker and brokerage firm, explains which […]

view article

November 3, 2026

How Do Investment Scams Target Veterans?

How Do Investment Scams Target Veterans? Investment scams targeting veterans usually start with trust. Scammers point to shared service, offer help with VA benefits, or pitch a supposedly better home for a Thrift Savings Plan balance. The goal is to […]

view article

October 28, 2026

What Is the Difference Between a Fiduciary and a Broker?

What Is the Difference Between a Fiduciary and a Broker? The main difference in fiduciary vs broker relationships is the duty owed. A fiduciary investment adviser must act in the client's best interest throughout the relationship. A broker must act […]

view article

October 14, 2026

How Long Does FINRA Arbitration Take From Start to Finish?

How Long Does FINRA Arbitration Take From Start to Finish? How long does FINRA arbitration take? Most cases wrap up in about a year to a year and a half. FINRA's own 2025 statistics put the average at about 13 […]

view article

October 9, 2026

Can I Fire My Financial Advisor and Get My Money Back?

Can I Fire My Financial Advisor and Get My Money Back? Firing your financial advisor is almost always allowed, and the money in your account stays yours when you leave. But firing an advisor does not undo investment losses. If […]

view article

October 3, 2026

Can a Broker Talk You Into a 1035 Annuity Exchange?

Can a Broker Talk You Into a 1035 Annuity Exchange You Did Not Need? Yes. A 1035 annuity exchange lets an investor swap one annuity for another without paying tax on the gains. But a broker may push the swap […]

view article

September 29, 2026

What Happens When a Broker Triggers a Margin Call in An Account?

What Happens When a Broker Triggers a Margin Call in Your Account? A margin call is a demand from your brokerage firm to add cash or securities to a margin account. It comes when the account's equity falls too low. […]

view article

September 23, 2026

What Does It Mean When a Broker Is Barred From FINRA?

Being barred from FINRA means a broker can no longer work for any FINRA member brokerage firm in any role. A bar is the most serious penalty FINRA can give an individual. It is usually permanent, and it stays on […]

view article

September 1, 2026

Why Are Seniors Targeted More Often in Investment Fraud?

Why Are Seniors Targeted More Often in Investment Fraud? Seniors are targeted more often in investment fraud because they hold the largest pools of liquid retirement savings, they are reachable and responsive, and cognitive and social changes that come with […]

view article

August 16, 2026

What Is a Suitability Violation in a Senior Investor's Brokerage Account?

What Is a Suitability Violation in a Senior Investor's Brokerage Account? A suitability violation in a senior investor's brokerage account occurs when a broker recommends an investment that does not align with that person's age, income, health, or risk tolerance. […]

view article

1 2 3 … 12 Next »