Broker-dealers, investment firms and financial advisors are trusted by consumers nationwide to protect their hard-earned investments. However, the standard of care these professionals owe to their clients varies greatly, depending on whether you’re dealing with a financial advisor or a broker-dealer. Financial advisors have fiduciary duties to their clients. This means financial advisors owe their [...]

Unsuitable investments are investments that are not appropriate for the individual investor. In other words, the advisor or broker should have known better than to advise his/her client to make the investment. Because investors rely on financial advisors and brokers, federal securities laws where created to protect investors from  fraudulent and unethical financial advisors and [...]

Fraud by trusted financial advisor and/or broker can cost investors million before the fraud is uncovered.  Often investors are placed in unsuitable investments, are victims of unauthorized trades, or are duped by misrepresentations. Therefore, it important for investors to demand certain practices from their financial advisors and broker.  Below is a list of what you [...]