The Coronavirus (COVID-19) has wrecked the financial markets. Since February 20, as the world has raced to respond to this pandemic, the S&P 500 has dropped from 3,380 to 2,430…
Over the past three weeks, the major US stock markets have suffered losses of more than 20%. As a result, investors have seen the value of their investment accounts decline…
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…