This has to do with professional negligence.

If your financial advisor is associated with a FINRA Member, then you have recourse by filing a FINRA arbitration which is much less expensive than...

I have handled many unauthorized trading cases, and am a member of the New York Bar. Assuming that the trades were made without your prior...

Should your wealth management person go into a law suit where he was part of the reason for the law suit ?

The "wealth management person" handling your portfolio may be liable for your market losses if he was negligent in the handling of your account. ...

You have asked several different questions. Let’s take them one at a time: 1. Statute of limitations: While you may be located in Rhode Island,...

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