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What is Stockbroker Negligence?

July 9, 2021 Blog

When you work with a stockbroker, you expect your broker to help you make informed decisions. You know there are no guarantees, but you are paying for the benefit of your broker’s expertise. So, what happens when your stockbroker provides bad advice (or puts his or her interests first)? Can […]

What Happens in FINRA Arbitration?

June 25, 2021 Blog

For many individual investors, recovering their fraudulent losses involves filing for FINRA arbitration. The Financial Industry Regulatory Authority (FINRA) shares responsibility with the U.S. Securities and Exchange Commission (SEC) for regulating brokers and brokerage firms in the United States, and it provides a forum for investors to pursue fraud claims […]

5 Critical Facts About the UBS Yield Enhancement Strategy

May 28, 2021 Blog

Wealthy investors have suffered substantial losses with the UBS yield enhancement strategy. While UBS brokers pitched the strategy as a low-risk opportunity for investors to increase their overall returns, it ended up costing investors many investors hundreds of thousands or millions of dollars. Many of these investors are now seeking […]