Recent Entries

• How Does the FINRA Employment Arbitration Process Work?

  by Stuart Meissner June 26, 2019
  When you are in an employment dispute with your former brokerage firm or financial planning institution, you may be considering bringing legal action against them. There are a couple of different ways you can do so, including arbitration and litigation.  Below, we go into further detail about ...

• How Does Mutual Fund Switching Hurt Investors?

  by Stuart Meissner June 25, 2019
  Financial markets and investing as a whole can be quite complex, and even the most seasoned investor is taking a risk with every trade and every investment. It is not uncommon to lose money on the stock market, but if you’ve endured losses that are greater than $100,000, you may need to look i...

• How to Appeal an SEC Whistleblower Award Determination

  by Stuart Meissner May 8, 2019
  If you blew the whistle on an investment scheme, securities fraud, or other violation of the U.S. Securities and Exchange Commission (SEC), you should be awarded accordingly. Whistleblowers take a great personal risk by coming forward, particularly as employees of a company engaging in such securiti...

• What Is the FINRA Supervision Rule?

  by Stuart Meissner February 11, 2019
  Stockbrokers are responsible for handling their clients’ investment portfolios, trades, and sales and for making suitable investment suggestions. However, there are many brokers who engage in misconduct for their own financial gain, which ultimately results in tremendous stock losses for the i...

• Becoming a Whistleblower: How to Protect Yourself

  by Stuart Meissner January 2, 2019
  Whistleblowing can have devastating effects on the lives of the whistleblowers. Protecting yourself will be extremely important to both your safety and your professional reputation. Below, we discuss why it’s important to protect yourself, the fear of retaliation and blowing the whistle, and w...

• SEC Whistleblowing 101

  by Stuart Meissner July 10, 2018
  If you have recently become aware of securities violations within your company or you suspect possible fraudulent activities and aren’t sure what you should do, reporting the information you have to the Securities and Exchange Commission (SEC) can be your best option. Not only will you help ...

• How Conflicts of Interest Hurt Investors

  by Stuart Meissner March 13, 2018
  Too many conflicting interests exist within the financial services industry. Probably the most common conflict of interest consists of brokers and fund managers who are paid a commission on the funds they sell to investors. You might think that with the implementation of the Department of Labor&rsqu...

• Signs of Fraud to Look Out For

  by Stuart Meissner October 12, 2017
  Nobody has ever claimed that the financial industry and the laws that regulate it are simple. The truth is that they’re anything but. Making matters worse, securities fraud is rampant and often goes unnoticed—often because people don’t know what to look for. With that in mind, we&...