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Tag: Investor awareness

26 03 '12
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FINRA Issues Alert to Educate Investors on Brokerage Account Statements

Last month, the Financial Industry Regulatory Authority (FINRA) issued an investor alert to remind investors that a careful review of their periodic brokerage account statements is an important way for them to stay informed about what brokers are doing with their money. The alert, titled “It Pays to Understand Your Brokerage Account Statements and Trade Confirmations,”…

Guiliano Law Group PC
CategoryInvestment and Regulatory News, Securities Arbitration Claims
CategoryBrokerage Account Statements, FINRA, Investor awareness

Categories

  • Alternative Investments (250)
  • Boilerroom Sales (427)
  • Bond Fraud (205)
  • Breach of Fiduciary Duty (417)
  • Business Development Companies (45)
  • Churning (370)
  • Closed End Funds (9)
  • Customer Loans (186)
  • Defective Option Strategies (26)
  • Direct Participation Programs (102)
  • Elder Financial Abuse (138)
  • Excessive Markups (64)
  • Excessive Trading (331)
  • Exchange Traded Notes (12)
  • Failure to Conduct Due Diligence (58)
  • Failure to Disclose Risk/Warn (7)
  • Failure to Diversify (14)
  • Failure to Execute (33)
  • Failure To Supervise (819)
  • FINRA Securities Arbitration (1,117)
  • Forgery (187)
  • Hedge Funds (39)
  • Inverse/Leveraged ETF Funds (111)
  • Investment and Regulatory News (6,034)
  • Margin Account Fraud (17)
  • Microcap and Penny Stock Fraud (33)
  • Misappropriation of Funds (521)
  • Municipal Bond Fraud (100)
  • Mutual Fund Fraud (156)
  • Native American Theft (2)
  • Non-traded REITs (338)
  • Overconcentration (111)
  • Ponzi Schemes (102)
  • Private Placement Fraud (175)
  • Promissory Notes (118)
  • Retirement Planning Fraud (13)
  • Reverse Convertible Securities (7)
  • Securities Arbitration Claims (1,863)
  • Securities Fraud (376)
  • Selling Away and Outside Activities (802)
  • Steepener Notes (2)
  • Stock manipulation (18)
  • Stockbroker Negligence (87)
  • Stockbroker Theft (510)
  • Structured Products (65)
  • Tenants in Common (TICs) (10)
  • Unauthorized Trading (769)
  • Unit Investment Trusts (UITs) (144)
  • Unregistered Securities (62)
  • Unsuitable Investment Recommendations (978)
  • Variable Annuites (472)
  • Wrongful Investment Referral (5)

 

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