If your financial advisor failed to recommend a suitable investment that meets your investment objective and risk tolerance, you may have a claim...

Is a broker changing signature papers from ownership to jt. ten-common on an account with 2 owners with WROS, , illegal ?

It is highly unlikely that the broker did not receive compensation related to the account. The brokerage firm that the broker is affiliated with...

How are leveraged etn products such as velocityshares uwti freely marketed and sold to unsophisticated investors?

The Financial Industry Regulatory Authority has issued an investor alert about leveraged and inverse ETFs. FINRA's investor alert advised...

3 of the family members from WA state invested over $400,000 with investor out of portland OR. who offered business partnership.

In order to attempt to recover your investment losses you will want to act quickly to retain a securities attorney. It is important that you file...

Can an investor demand a return of their investment if the believe fiduciary responsibility has been breached?

An investor may demand a return of their investment which is also known as claim for rescission. Rescission is a theory of damages which may be...

Some guy said he was running a hedge fund and promised high returns. I trusted him and invested $15,000 and now he is telling me

Your first course of action is to verify whether or not this individual is registered with the Financial Industry Regulatory Authority (FINRA). If...

My question is, I entrusted my entire savings to a paralegal with the intent of investing my 401(k) into small stocks and bonds.

You should research the individual "paralegal" with whom you invested to see if they are a registered representative of a brokerage firm. If so,...

Custody

You should contact the school and get a record of his attendance. You should then contact a family law attorney who can either file a Motion for...

How will my expunged criminal record affect my employment eligibility in financial services industry?

Your best course is to ask the firm's compliance department if they would consider the adjudication a reportable event even though it was expunged....