FAQs | Weltz Law

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 […]

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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 […]

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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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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 […]

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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. […]

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August 1, 2026

How Do I Check My Financial Advisor's Complaint History?

How Do I Check My Financial Advisor's Complaint History? You can check your financial advisor's complaint history for free in just a few minutes. The fastest tool is BrokerCheck, a public database run by FINRA. FINRA stands for the Financial […]

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July 16, 2026

Can a Family Member File a FINRA Arbitration Claim?

Can a Family Member File a FINRA Arbitration Claim on Behalf of an Elderly Parent? Yes, a family member can file a FINRA arbitration claim on behalf of an elderly parent. The catch is that the family member needs legal […]

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May 1, 2026

What Is Affinity Fraud and How Does It Target Investors?

What Is Affinity Fraud and How Does It Target Investors? What is affinity fraud, and how does it target investors? Affinity fraud is an investment scam that targets members of a specific group, such as a religious community, ethnic group, […]

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April 20, 2026

What Is Elder Financial Fraud in Investment Accounts?

What Is Elder Financial Fraud in Investment Accounts? It is exactly what it sounds like. Elder financial fraud in investment accounts happens when a broker, financial advisor, or brokerage firm exploits an older investor's trust, diminished capacity, or isolation to […]

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What Goes Into a FINRA Statement of Claim?

How Do Investment Scams Target Veterans?

What Is the Difference Between a Fiduciary and a Broker?

How Long Does FINRA Arbitration Take From Start to Finish?

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

Can a Broker Talk You Into a 1035 Annuity Exchange?

Why Are Seniors Targeted More Often in Investment Fraud?

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

How Do I Check My Financial Advisor's Complaint History?

Can a Family Member File a FINRA Arbitration Claim?

What Is Affinity Fraud and How Does It Target Investors?

What Is Elder Financial Fraud in Investment Accounts?

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