securities industry
Tag Archive

  • How to file a FINRA complaint

    August 27, 2010 Comments (0) Blog, Securities Fraud

    Whether you realized it at the time or not, when you established your brokerage account, you likely entered into an arbitration provision that provides that if you have a dispute with your broker-dealer you agree to waive your right to bring that claim in Court and to arbitrate that dispute through FINRA’s Dispute

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  • Arizona Securities Law

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Arizona securities laws that are generally applicable in FINRA arbitrations. R14-4-130. Dishonest and Unethical Conduct A. For purposes of A.R.S. §§ 44-1961(A)(13) and 44-1962(10), dishonest or unethical practices in the securities

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  • Financial Advisor Promissory Notes

    Financial Advisor Promissory Notes, Featured by Top Securities Fraud Attorneys, The White Law Group

    August 2, 2009 Comments (5) Blog, Securities Fraud

    Financial Advisor Promissory Notes – (Up-front forgivable loans) A Promissory Note (often called an up-front forgivable loan) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Merrill Lynch, Wells Fargo Securities,

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