Switch to ADA Accessible Theme
Close Menu

Tag Archives: securities litigation

image-asset-24.jpeg

Suitability and Sales Practice Issues Top FINRA Report

By Green & Schafle |

Suitability and Sales Practice Issues Top FINRA Report The Financial Industry Regulatory Authority (FINRA) published its 2019 Report on Examination Findings and Observations on October 16, 2019. This marks the third published annual report of FINRA finding which in an unprecedented departure from the prior reports, distinguishes “findings” (determinations that a firm or registered… Read More »

Facebook Twitter LinkedIn
image-asset-68.jpeg

Regulator Rules and Tools for Every Retail Investor

By Green & Schafle |

The United State Securities and Exchange Commission (SEC) oversees the US financial markets and the players therein. But there’s another regulatory agency that supervises the financial industry that investors tend to be less familiar with. While the SEC is well-known for its high profile busts of white collar criminals like Bernie Madoff, the Financial… Read More »

Facebook Twitter LinkedIn
image-asset-70.jpeg

Is Your Broker to Blame for Excessive Losses in the Stock Market?

By Green & Schafle |

The last few months have been a difficult time for many investors. The stock market has taken a major dive, closing out 2018 with the worst performing December since The Great Depression. With so much volatility, it’s crucial that investors have a carefully planned portfolio with an adequate amount of diversification. Above all, that… Read More »

Facebook Twitter LinkedIn
image-asset-78.jpeg

How to Tell If A Potential Broker Is Good or Bad

By Green & Schafle |

FINRA’s Broker Database Invaluable to Investors Many retail investors have no idea that an incredibly powerful tool for discerning whether a potential broker or financial advisor is good or bad lies just a few clicks away. The best kept secret in the securities industry is the Financial Industry Regulatory Authority’s (FINRA’s) BrokerCheck website, which… Read More »

Facebook Twitter LinkedIn
image-asset-83.jpeg

Financial Scams Targeting the Elderly: A Growing Problem

By Green & Schafle |

Retired Boomers Increasingly Targeted by Financial Scam Artists As baby boomers hit retirements, bringing with them the largest amount of wealth a single generation has ever possessed, regulators at the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) foresee an ever growing number of financial scams designed to separate boomers… Read More »

Facebook Twitter LinkedIn
image-asset-99.jpeg

Broker Best Interest Regulations Fall Short

By Green & Schafle |

Written Disclosure Standards Pass the Buck to Investors Investment account statements and paperwork can be voluminous and impenetrable. Precious few retail investors have the time, energy, or expertise to read through all of the materials they receive from their stock broker and brokerage firm. As a matter of practicality, the typical investors assumes the… Read More »

Facebook Twitter LinkedIn
image-asset-125.jpeg

High-Risk Broker Network Under Regulator Spotlight

By Green & Schafle |

A few bad apples can indeed spoil the bunch. At least, that is the message that FINRA (the Financial Industry Regulatory Authority) recently sent by stating that it will expand its focus on rogue brokers who have worked with or associated with high-risk financial advisors. Securities Industry Regulators Build Database of High-Risk Broker Network… Read More »

Facebook Twitter LinkedIn
image-asset-133.jpeg

FINRA Fines Citigroup $11.5 Million for Inaccurate Info to Customers, Brokers

By Green & Schafle |

According to recent sanctions by securities industry watchdog, FINRA (Financial Industry Regulatory Authority), Citigroup Global Markets has been displaying inaccurate research ratings to customers for numerous equities over a five-year period. FINRA has fined Citigroup $11.5 Million for these faulty ratings and for related supervisory failures. Citigroup Equity Research Ratings Were Inaccurate on 1,800+… Read More »

Facebook Twitter LinkedIn
image-asset-135.jpeg

The Dirty Secret of the Securities Industry

By Green & Schafle |

The Dirty Secret of the Securities Industry There’s a universe of advice and information out there for investors looking to educate and protect themselves. Tune in to MSNBC or visit TheStreet.com and you’ll find a million answers to a million different questions related to investing intelligently. But for all this “noise” about investing, there… Read More »

Facebook Twitter LinkedIn
image-asset-137.jpeg

Elder Financial Health Impacts US Economy, says Philly Fed Chief

By Green & Schafle |

Philadelphia Federal Reserve CEO Takes on Elder Financial Health In a recent conference on elder financial exploitation comprised of representatives of financial institutions, financial advisors, and regulators, the president and CEO of the Federal Reserve Bank of Philadelphia, Patrick T. Harker, set his sights firmly on the growing problem of elder financial health and… Read More »

Facebook Twitter LinkedIn
+