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Tag Archives: sue my broker

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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 »

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Elder Abuse Rises as US Population Ages

By Green & Schafle |

Aging Population Faces Increasing Number of Abuses As a vast sector of the US population reaches old age and the systems in place to supervise its care remain inadequate, instances of elder abuse will continue to rise. This includes not only the physical and emotional abuse of the elderly in nursing homes and care… Read More »

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Elder Abuse Awareness Day

By Green & Schafle |

Experts Say Elder Abuse May Spike But if you’ve been watching the news lately, you’ve probably seen at least one story that deals with elder abuse. In other words, you may already be aware of how elder abuse has become a national epidemic. Local news outlets recently picked up a story about a Delaware… Read More »

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SEC Philadelphia Office Opens Program to Help Senior Investors Avoid Scams

By Green & Schafle |

Want to protect yourself from elder financial abuse? As regulators and legislators around the country respond to the growing problem of elder financial abuse in the US, the Securities and Exchange Commission (SEC) Philadelphia office is hosting an event to help seniors to avoid becoming the next victims of abuse. The SEC Philly office,… Read More »

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FINRA Cracks Down on Bad Brokers, Small Firms

By Green & Schafle |

FINRA Issues Regulatory Notice Regarding Funding Requirements of Restricted Firms Securities industry regulatory body, FINRA (the Financial Industry Regulatory Authority), released its proposal for a rule that would crack down on firms with a high concentration of “bad” brokers. With its latest regulatory notice, FINRA stated that it would increase oversight of brokerages with… Read More »

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When Your Broker Departs

By Green & Schafle |

FINRA Asks Broker-Dealers to Communicate “Clearly and Promptly” The financial industry self-regulator, FINRA, issued a new regulatory notice today aimed at broker-dealers with departing brokers. The notice was intended to urge broker-dealers to be more clear and forthright with customers about departing brokers and what will happen to the customers’ accounts. If you’ve ever… Read More »

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Warren Wants FINRA to Toughen Broker Expungement Rules

By Green & Schafle |

Sen. Elizabeth Warren, a Democrat from Massachusetts who recently announced she would be running for president, urged the CEO of the securities industry self-regulator, FINRA, to toughen new rules controlling the expungement of incidents on the permanent records of financial professionals. Expungements Remove Broker Misconduct from the Permanent Public Record Financial advisors sponsored by… Read More »

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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 »

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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 »

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3 “Golden Rules” for Better Financial Self-Defense

By Green & Schafle |

Educate Yourself and Pay Attention As an Investor, and You’ll Be That Much Harder to Fool In the many dozens of securities litigation cases we have worked on for investors, we have noticed that, when it comes to protecting yourself against broker misconduct and financial fraud, there several “golden rules” which, if regularly observed,… Read More »

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