Securities Arbitration Lawyers Blog

Financial regulatory authority making it even easier for investors to access broker and firm histories As of June 6th, 2016, FINRA member firms are required to place a link on their website to their BrokerCheck reports. This gives potential clients and investors more information than ever before about the brokers…

If you want to succeed, you may want an excellent attorney, the right paperwork, and, perhaps most importantly, a clear goal in mind for what you want out of FINRA’s dispute resolution process. Whether you’ve decided to file a FINRA arbitration claim or a request for mediation, adequate preparation is…

Cetera financial advisor allegedly engaged in gross negligence, breach of fiduciary duty, fraudulent non-discolsure, fraud, and more Kenneth Kolquist began his career in the financial services industry in 2006 in Duluth, Minnesota. Since his first position with A Plus Financial Group, he has worked for various firms including Securities America,…

Ralph Savoie refused to respond to requests for information from the FINRA. After 40 years in the financial services industry, Ralph Savoie has been permanently barred by the FINRA. His most recent place of employment was as a broker for the firm Cambridge Investment Research in Metairie, Louisiana where he…

Misconduct is an unfortunate reality of the securities industry, but knowing your rights is imperative to taking swift action when a dispute arises When it comes to working with financial advisors, it’s essential to know your rights. Many financial advisors do not have the best interests of their clients at…

You think your financial advisor has committed investment fraud, when should you lawyer up? A securities arbitration attorney can be an essential asset if you have questions about what a financial advisor is doing with your money, have been under-informed or misinformed about your investments, or are facing an upcoming…

How much time do you have to take legal action against a fraudulent broker? It depends… If you’ve only recently realized that you were defrauded by your broker or financial advisor, or have been waiting until obtaining the proper evidence to take legal action against them, it’s essential to know…

How do I know if my stockbroker has defrauded me? Stockbrokers and financial advisors have a legal duty to put your financial well-being before their own when they make decisions about your investments. However, some financial professionals aren’t willing to wait until you make money to increase their profits. According…

FINRA initiates investigation into Sarasota broker after multiple customer complaints Winston Wade Turner, a broker who was most recently registered with Pruco Securities in Sarasota, Florida, is being investigated after FINRA filed a complaint against Turner in regard to numerous customer disputes, including attempting to defraud customers by convincing them…

With just three years in the securities industry, Woodard faced allegations of misconduct Silver Law Group is investigating the misconduct of Matthew Charles Woodard, a broker from Farmington, Connecticut. An inquiry from FINRA was initiated when Woodard was accused of converting funds from a deceased customer’s account. When asked to…