Month: October 2015
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. The explosion of financial […]Read Post
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 […]Read Post
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 […]Read Post
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- SEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts
- Airbnb Guest Injuries
- Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors
- Will Contests – Have You Been Shorted by Trickery Involving a Loved One’s Estate?
- Class Action Lead Plaintiff is Successful in Thwarting Effort of Massachusetts Mutual Seeking to Dismiss Claims