Market volatility is typically a time when investors reflect on their underlying portfolio risk. The concept applies equally to financial advisors confronted with the risks associated with client complaints, arbitrations and regulatory inquires. These risks...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: March 2020
Understanding Public Disclosures on FINRA’s BrokerCheck
Providing the public with relevant information about securities professionals and their firms is a central component behind BrokerCheck, a free tool administered by the Financial Industry Regulatory Authority, Inc. (“FINRA”). Over the past several years, FINRA has...
