What is fiduciary duty?

Investing is difficult on its own, even without having to worry about unscrupulous persons acting on your behalf. It is important to understand the rights and obligations you have as an investor working with third parties. One of the key elements to understand is...

What is FINRA arbitration?

Disputes that break out between business professionals who handle securities may take different forms. An individual broker may have a dispute with a brokerage firm. Investors may have disagreements with one another over securities or employment issues. While...

Understanding FINRA violations

Within the investment community, financial professionals know that there is a wealth of regulations by which they must abide when conducting financial transactions. Many of these regulations may be put in place by the United States Securities and Exchange Commission....