On July 29, 2019, InvestmentNews.com (citing an article by the Wall Street Journal) noted that the Certified Financial Planner Board of Standards "fails to list regulatory and criminal misconduct and…
Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor. I recently reviewed a performance report that was provided to…
FINRA recently underwent some changes to its BrokerCheck website. For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain…
Summary of Securities Arbitration Statistics as reported by FINRA for the two-month period ended February 2011.
In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers and/or financial advisors.
Also available at KansasCityLaw.tv This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have questions related to any…
Also available at KansasCityLaw.tv This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have questions related to any…
The Financial Industry Regulatory Authority (FINRA) recently released its arbitration statistics for the month/year ended December 2010. For the year, there were 20% fewer cases filed (5,680 v. 7,137 in…
From SecuritiesArbitrationBlawg.com: FINRA recently reported its December 2009 arbitration statistics. For the year ended December 31, 2009, 7,137 claims had been filed. This represents an increase of 43% as compared…
ProFunds Group, one of the largest issuers of leveraged and inverse ETFs recently issued a warning that some of its leveraged and inverse ETFs may not be suitable for all…