Month: December 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: FINRA Dispute Resolution Department of Neutral Management One Liberty Plaza 165 Broadway, 27th Floor New York, […]

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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 […]

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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. Deferred annuity contracts include […]

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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:  What do you know about the company who wants to invest your money? What do you know about the […]

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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. FINRA also maintains the FINRA brokerage hotline at (800) 289-9999 as well as […]

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