george robertson

FINRA Disciplinary Action Report: Sept 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

Investment Scams Target Elderly Investors

With the economy on a rocky footing, the climate is right for investment scams. These scams can impact investors of all ages, but those hit hardest are the seniors. Often isolated and suffering a diminishing capacity to discern truth from lies, elderly investors are particularly vulnerable to clever investment scams that promise high returns for low or no risk.

FINRA Disciplinary Action Report: August 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

Investors: Ask These Five Questions

We are often asked how investors can best protect themselves against unscrupulous financial advisors and toxic investments. The truth is, most investors simply don’t ask the right questions before they sign on with a broker or put their hard-earned money into the next hot complex investment product. These five questions will at least give you a measure of protection against the worse depredations of the securities industry.

Investors Awarded $1.16M for REIT Sales

In a case that points up many of the problems that have been plaguing the securities industry for years, a FINRA panel of arbitrators awarded six investors more than $1M in relief after they alleged that a financial advisor and three executives for Berthel Fisher & Co sold them unsuitable complex products.

FINRA Disciplinary Action Report: July 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

Can I Trust My Broker?

You might think you know who’s investing your hard-earned money because you meet and talk with them on the phone now and then. But how do you really know you’re dealing with a financial advisor you can trust? Or at least, one who isn’t an outright crook?

FINRA Disciplinary Action Report: June 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

What Happens When Your Broker Leaves a Firm

As an investor, you may have already experienced the disorientation that comes with having your financial advisor switch from one broker-dealer to another; or to an investment advisory or insurance company. The practice is not at all common, and the reasons for such switches are by no means always a bad thing for investors. Often a high-performing broker will be poached from a smaller firm by a larger one; or an ambitious broker will move from one company to another because of the higher quality of support, compliance, and information offered at another shop. That’s all well and good — but where does it leave the investor?

FINRA Compiles List of "Bad Brokers"

As the securities industry regulator, FINRA, looks at new ways of cleaning up the brokerage business, it has zeroed in on “rogue brokers” as being responsible for a disproportionate number of infractions and instances of misconduct. FINRA has been motivating a new rule that would target a few hundred individual brokers who have checkered backgrounds by forcing firms that employ them to heighten supervision of high-risk financial professionals.

FINRA Disciplinary Action Report: May 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

FINRA Disciplinary Action Report: April 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

A Quick Check to Make Sure Your Broker is "Legit"

One of the hardest lessons many investors who have been taken in by a fraudulent financial professional or broker is that they might have known better. In the process of an investigation, they see that there was actually information available to them that indicated that their broker was either “rogue” or, in some cases, “barred” from practicing as a broker at all.

FINRA Disciplinary Action Report: March 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

FINRA Disciplinary Action Report: February 2019

Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.