{"id":2966,"date":"2015-08-21T00:00:00","date_gmt":"2015-08-21T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/mutual-fund-sales-violations\/"},"modified":"2018-10-08T12:41:46","modified_gmt":"2018-10-08T16:41:46","slug":"mutual-fund-sales-violations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/mutual-fund-sales-violations\/","title":{"rendered":"Mutual Fund Sales Violations"},"content":{"rendered":"<p>Improper <a href=\"https:\/\/www.silverlaw.com\/securities-arbitration\/finra-sales-practice-violations\/\" target=\"_blank\">mutual fund switching<\/a> and failing to provide <a href=\"https:\/\/www.silverlaw.com\/mutual-fund-sales-breakpoint-violations.html\" target=\"_blank\">mutual fund sales breakpoints<\/a> can constitute violations of the <a href=\"https:\/\/www.finra.org\"  rel=\"noopener\" target=\"_blank\">Financial Industry Regulatory Authority<\/a> (FINRA). These violations can lead to FINRA arbitration claims, which can result in significant damages being assessed against stockbrokers and financial advisors. Further, these violations can lead to financial loss for investors.<\/p>\n<p><strong><u>Switching and Breakpoint Violations<\/u><\/strong><\/p>\n<p>Mutual funds are an investment made up of funds that are collected from several investors that are used in order to invest in securities such as stocks, bonds, money market instruments, and similar assets. They are operated by money managers who invest the fund\u2019s capital with the goal of producing capital gains for the investors of the funds. Mutual funds provide investment diversity for an investor, without having to purchase stock from several companies.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/mutual-fund-sales-violations\/\"  title=\"Continue Reading Mutual Fund Sales Violations\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Improper mutual fund switching and failing to provide mutual fund sales breakpoints can constitute violations of the Financial Industry Regulatory Authority (FINRA). These violations can lead to FINRA arbitration claims, which can result in significant damages being assessed against stockbrokers and financial advisors. Further, these violations can lead to financial loss for investors. Switching and [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2966","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Mutual Fund Sales Violations? - Silver Law Group<\/title>\n<meta name=\"description\" content=\"Have you been the victim of mutual fund sales violations? If you have questions about how your account was handled, call Silver Law Group today\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/mutual-fund-sales-violations\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Mutual Fund Sales Violations? - Silver Law Group\" \/>\n<meta name=\"twitter:description\" content=\"Have you been the victim of mutual fund sales violations? 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