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10 Lesser-Known Stock Market Tips

December 17, 2021 Blog

As an individual investor, you know that you should only invest money you can afford to lose, and you know you should diversify your portfolio. But, it is what you don’t know that can hurt you. Too often, investors think they are making informed decisions when in reality they are […]

Solicited vs. Unsolicited Trades

December 10, 2021 Blog

As an individual investor, you may ask your broker to make certain trades for you. But, you will also rely on your broker’s advice in many cases. Good brokers will recommend trades that they believe serve their clients’ investment objectives; and, when clients accept their recommendations, they will earn a […]

What is a Misleading Illustration?

December 3, 2021 Blog

As an individual investor, the ability to make informed decisions is critical to managing your portfolio effectively and minimizing your risk of loss. If you work with a stockbroker or investment advisor, you rely on your broker or advisor to provide trustworthy information that you can use to guide your […]

When Can Investors File a Claim for Bribery?

November 23, 2021 Blog

What Do Investors Need to Know about the Anti-Bribery Provisions of the FCPA? The Foreign Corrupt Practices Act (FCPA) is a federal law that is designed to prevent companies and their personnel from engaging in corrupt practices when doing business with foreign companies and government entities. Key among the FCPA’s […]

SEC and FINRA Issue Warnings about Broker and Investment Advisor Imposter Scams

October 22, 2021 Blog

The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have both recently issued warnings about broker and investment advisor imposter scams. These scams involve individuals falsely representing themselves as registered brokers and advisors—often by assuming the identity of a legitimate registered investment professional. For individuals […]

FINRA is Investigating Unnamed Special Purpose Acquisition Companies (SPACs) and Their Affiliates

October 20, 2021 Blog

The Financial Industry Regulatory Authority (FINRA) recently announced that it is investigating unnamed special purpose acquisition companies (SPACs) and their affiliates for possible securities law violations. In order to do so, the self-regulatory organization is requesting records from brokerage firms that may have offered investments in the subject SPACs to […]

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