Are You Interested in Becoming a FINRA Arbitrator?

Stockbroker Law - Tuesday, December 29, 2015
Are You Interested in Becoming a FINRA Arbitrator?

The Financial Industry Regulatory Authority (FINRA) has an online arbitrator application feature which affords qualified individuals the opportunity to apply to become an arbitrator with FINRA.  In addition to the arbitrator application, arbitrator background verification forms can be sent to: 


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Before Investing: "Ask and Check"

Stockbroker Law - Tuesday, December 22, 2015
Before Investing: "Ask and Check"

The Securities Exchange Commission (SEC) Office of Investor Education and Advocacy has issued a web-based advisory to the investing public entitled, “Ask and Check”. This article suggests that before investors hire an investment professional or purchase securities, they such research and verify all information about the investment professionals they may be dealing with, as well as the investments the companies they may be suggesting that you invest in.   


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Life Insurance Resource Center

Stockbroker Law - Wednesday, December 16, 2015
Life Insurance Resource Center

The New York State Department of Financial Services maintains an online Life Insurance Resource Center describing the various annuity products sold in New York State including annuities such as straight life annuities, life contingent with period certain annuities, life contingent with refund feature annuities, joint & survivor annuities and period certain annuities. 


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SEC Guide for Seniors to Protect Senior Citizens Against Investment Fraud

Stockbroker Law - Wednesday, December 09, 2015
SEC Guide for Seniors to Protect Senior Citizens Against Investment Fraud

The Securities and Exchange Commission Office of Investor Education and Advocacy has published "A Guide for Seniors - Protect Yourself Against Investment Fraud," which suggests that senior investors should ask the following questions to avoid being scammed:   


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FINRA Securities Helpline For Seniors - HELPS

Stockbroker Law - Wednesday, December 02, 2015
FINRA Securities Helpline For Seniors - HELPS

FINRA maintains a toll-free number that Senior Investors can call to get assistance from the Financial Industry Regulatory Authority (FINRA) when placed with problems with their investment accounts the toll-free number is 844-57-HELPS (844-574-3577) Monday through Friday 9:00 a.m. to 5:00 p.m. 


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