Investors Beware - The Importance of Researching Financial Professional Titles of Your Finanacial Advisor

Stockbroker Law - Wednesday, October 28, 2015
Investors Beware - The Importance of Researching Financial Professional Titles of Your Finanacial Advisor

The North American Securities Administration Association (NASAA) and the Office of Investor Education and Advocacy of the Securities and Exchange Commission (SEC) have issued a joint bulletin encouraging investors to look beyond a financial professionals’ credentialing initials and title in order to determine what type of financial professional you are dealing with. 


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FINRA Arbitration and Mediation

Stockbroker Law - Wednesday, October 21, 2015
FINRA Arbitration and Mediation

The Financial Industry Regulatory Authority (FINRA) maintains the predominant dispute resolution forum in the United States. Notably, due to mandatory arbitration clauses contained in new account forms presented to investors by brokerage firms, investors are required to have their disputes with their brokers resolved in arbitration as opposed to the courts. This means that instead of a jury trial, disputes will be resolved by one or several arbitrators appointed to hear your case. 


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Required Minimum Distribution Calculator

Stockbroker Law - Wednesday, October 07, 2015
Required Minimum Distribution Calculator

The Financial Industry Regulatory Authority maintains a required minimum distribution (RMD) for purposes of helping investors determine their required minimum distribution from an IRA or 401(k) account. Investors in these types of accounts are required to begin withdrawing money by April 1st of the year following the year in which they turn 70 1/2. Failure to make the timely required minimum distribution withdrawals can subject you additional taxes. Also notable, a retiree with a spouse more than ten years younger is required to use a separate joint life expectancy table (IRS Publication 590) which generally produces a lower required distribution. 


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