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Month: May 2009
Activity Letter from my Brokerage Firm: What does it mean?
Why did my Brokerage Firm send me this letter? If you have ever received a letter from your brokerage firm regarding the trading, or...
List of Law Directories
Here is a list of law specific directories we have submitted our firm’s details to: Complete Attorney List Directory Law Offices of...
Recent Changes to the FINRA Code of Arbitration
The Securities and Exchange Commission (SEC) has recently approved several amendments to the Financial Industry Regulatory Authority...
Customer Complaints on the Rise?
With branch offices increasing, will customer complaints be on the rise? Despite the downturn in the economy, brokerage firms are...
Financial Fraud Often Aimed at Seniors
According to Jennifer Levitz’s May 19, 2009 article in the Wall Street Journal, “Laws Take on Financial Scams Against Seniors,”...
Investor Tools
Whether or not you knew it at the time you established your brokerage account, virtually every new account agreement with a broker-dealer...
