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Securities Fraud

Blog, Securities Fraud

FINRA Rule 2090 Know your Customer 

What is FINRA Rule 2090?  FINRA Rule 2090, also known as the “Know Your Customer” rule, was created by the Financial Industry...

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Blog, Securities Fraud

Annuity Investment Fraud 

Annuity Investment Fraud  According to an article in Financial Planning this week, we are in a “historic boom for annuities,” and...

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Blog, Securities Fraud

Discretionary Accounts

Discretionary Accounts: Does your Broker have too much Authority? A discretionary account is a type of investment account in which you (the...

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Blog, Securities Fraud

What is a Broker CRD Number? 

Financial Industry Regulatory Authority Central Registration Depository (CRD) Database FINRA CRD stands for Financial Industry Regulatory...

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Blog, Securities Fraud

Are Structured Notes Worth the Risk?

What are Structured Notes? An Overview A Structured Note is a IOU from an investment bank that uses derivatives to create the desired...

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Blog, Securities Fraud

Social Media Apps & Investment Fraud Schemes 

How to Prevent becoming a victim of a Social Media Scam  According to Investment News this week, the potential misuse of social media...

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