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June 17, 2025

Signs of Financial Advisor Negligence

Signs of Financial Advisor Negligence When you entrust your financial future to a professional advisor, you rightfully expect competent guidance and prudent management of your assets. However, financial advisors are human and can make mistakes that may constitute negligence, potentially […]

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June 13, 2025

How to File a FINRA Complaint

When investors experience misconduct, fraud, or other violations by their brokers or financial advisors, understanding how to file a FINRA complaint becomes crucial for seeking justice and recovering losses. The Financial Industry Regulatory Authority (FINRA) serves as a self-regulatory organization […]

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June 9, 2025

What Is Selling Away?

What Is Selling Away? Investment fraud takes many forms in today's financial markets, and selling away represents one of the most deceptive practices that can harm unsuspecting investors. This prohibited activity occurs when financial advisors or brokers recommend or sell […]

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June 3, 2025

Solicited vs Unsolicited Trades

Solicited vs Unsolicited Trades: Understanding the Crucial Distinction in Securities Trading In the complex world of securities trading, understanding the difference between solicited vs unsolicited trades is fundamental for investors, brokers, and financial professionals alike. This distinction carries significant legal, […]

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May 30, 2025

FINRA Arbitration Deadlines: What’s the Statute of Limitations?

FINRA Arbitration Deadlines: What's the Statute of Limitations? When investors face disputes with their brokers or brokerage firms, understanding FINRA arbitration deadlines becomes crucial for protecting their legal rights. The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute […]

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May 2, 2024

Securities Litigation Framework 101

Securities Litigation Framework Definition and Scope of Securities Litigation Securities litigation is a complex field that sits at the intersection of law and finance, serving as a critical mechanism for maintaining integrity within the markets. At its core, securities litigation […]

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April 1, 2024

Understanding Workplace Discrimination Laws

Understanding Workplace Discrimination Laws When it comes to safeguarding the rights of employees, the United States has established a robust legal framework through several key federal anti-discrimination acts. The Civil Rights Act of 1964 stands as a cornerstone, prohibiting discrimination […]

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March 7, 2024

The Top Signs of Broker Misconduct

The Top Signs of Broker Misconduct As a business owner, you trust your broker to make the right decisions to protect your investments and grow your wealth. However, not all brokers act in your best interests, and some may engage […]

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February 5, 2024

Elements of a Business Contract & How Can a Lawyer Assist?

What Are the Key Elements of a Successful Business Contract & How Can a Lawyer Assist? If you're running a business, you need to have solid contracts in place to protect yourself and your assets. But what are the key […]

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January 1, 2024

Top 5 Causes of Breach of Contract and How to Avoid Them

The Top 5 Most Common Causes of Breach of Contract and How to Avoid Them The Importance of Understanding Contractual Obligations Contracts are the backbone of any business relationship, providing a legal framework that ensures both parties fulfill their obligations. […]

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