Financial Exploitation of Vulnerable Adults and Senior Citizens

Stockbroker Law - Tuesday, January 12, 2016
Financial Exploitation of Vulnerable Adults and Senior Citizens

The Financial Industry Regulatory Authority (FINRA) has proposed the amendment of FINRA Rule 4512 (https://www.finra.org/industry/notices/15-37) ( ..

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Investment Advisor Representatives (IARs)

Stockbroker Law - Tuesday, January 05, 2016
Investment Advisor Representatives (IARs)

The United States Department of Labor’s Bureau of Labor statistics estimates that financial advisors in the workplace will grow by thirty pe ..

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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 opportuni ..

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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 entitle ..

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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 (http://www.dfs.ny.gov/consumer/cli_basic.h ..

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