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How To Research Your Financial Advisor with BrokerCheck
All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority). FINRA BrokerCheck...
Investment News: Thinkorswim Users Sue TD Ameritrade
TD Ameritrade Inc. has been hit with an $8 million arbitration claim by a group of options traders who say they lost money last summer during final integration of the thinkorswim trading platform…
Merrill Lynch Shifting Away From Small Accounts
It is being reported that the latest compensation changes being made by Merrill Lynch Wealth Management to encourage brokers to go after...
FINRA Rules Regarding Suitability
Securities Fraud Attorneys | Suitability Claims One of the main claims in any securities fraud case is regarding suitability (i.e., were...
SEC Changes to “Accredited Investor” Rules
The Securities and Exchange Commission recently announced that it has amended its rules to exclude the value of a person’s home from net...
