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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 […]
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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 […]
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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 […]
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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 […]
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Boca Raton Office

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980 N Federal Hwy #110
Boca Raton, FL 33432

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Main Office

1 Old Country Road, Suite 275
Carle Place, NY 11514

Map & Directions
Beverly Hills Office

By Appointment Only
9171 Wilshire Blvd #500
Beverly Hills, CA 90210

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