The Financial Industry Regulatory Authority (FINRA) arbitration process is the primary forum for resolving disputes between investors and financial professionals, including financial advisors and broker-dealers. Among the most common claims in FINRA arbitration are customer suitability claims, in which investors allege that their financial advisor recommended investments that were inappropriate...
The U.S. Securities and Exchange Commission (SEC) has increased its enforcement efforts against fund managers and other financial professionals
In recent years, the SEC has increased its enforcement efforts against fund managers and other financial professionals accused of violating securities laws. If you are a fund manager facing a lawsuit by the SEC, it is important to understand your legal options and to work with experienced securities litigation attorneys...
Why Your Financial Advisor Will Not Likely Recommend Cryptocurrency Anytime Soon
If you have been on planet earth over the last several years you know cryptocurrencies have been all the rage, with Bitcoin’s price reaching an all-time high of more than $63,000 in April of 2021 after rocketing up from only $8,000 the year earlier.