What Is Securities Fraud?
Generally, when a financial professional encourages a client to invest in unnecessarily risky ventures that devalue the client's assets or when the financial professional acts …
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How can I tell if I`ve been a victim of a stock fraud?
Every case is different but when a stock has dropped, your loss may be due to fraud when Company executives misrepresented facts relating to important aspects of the business, or held off revealing …
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What is an unsuitable recommendation?
When you ask your stock broker for advice, you trust that they are giving you the best information for your specific situation. However, sometimes a broker will "hard …
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What is securities arbitration?
In 1987, the U.S. Supreme Court held that brokerage firms could enforce predispute arbitration clauses contained in their standard form customer agreements. Virtually all brokerage firms' …
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What Is Overconcentration?
Ever heard of the phrase "don't put all of your eggs in one basket?" Your advisor should also follow this advice, but when your financial advisor invests most or all of your money in …
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