June 30, 2025

Can You File a FINRA Claim Without a Lawyer?

Can You File a FINRA Claim Without a Lawyer? When investors suffer financial losses due to broker misconduct, securities fraud, or unsuitable investment recommendations, they often wonder whether they can file a FINRA claim without a lawyer. The Financial Industry […]
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June 25, 2025

What Happens During FINRA Arbitration? Step-by-Step for Investors

When investment disputes arise between investors and brokerage firms, the resolution process typically unfolds through FINRA arbitration rather than traditional court proceedings. Understanding what occurs during FINRA arbitration can help investors navigate this complex process with greater confidence and preparation. […]
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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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