Tag: Securities Attorney
How to File a Complaint against your Broker
If you have a Dispute with your Broker Whether you realized it at the time or not, when you established your brokerage account, you likely...
Fastest Growing Independent Broker-Dealers
The Ten Fastest Growing Independent Broker-Dealers in 2022 According to Investment News, the following brokerage firms are the top ten...
Risks of Investing in Leveraged and Inverse Exchange-traded Funds (ETFs)
Overview of Inverse and Leveraged Exchange-Traded Funds (ETFs) Did your broker recommend investing in leveraged or inverse ETFs? The...
FINRA Rule 4111: Is your Brokerage Firm on the Naughty List?
What is FINRA Rule 4111? FINRA Rule 4111 (Restricted Firm Obligations) focuses on broker-dealer firms with a history of misconduct or...