Securities Litigation Blog

Is Your Financial Advisor Viable? Do They Have E&O Insurance?  Why SIPC Is Not The Answer.

  • Jul 11, 2017
  • By Glenn S. Gitomer

It's important to understand why the SIPC may not provide you all the protection you need in the case of wrongful acts by your financial advisor. Best to check if your advisor has Errors and Omissions Insurance.

Why The DOL’s Fiduciary Rule Is So Important

  • Jun 9, 2017

Today, the Department of Labor’s fiduciary duty rule will become effective. Essentially, the fiduciary duty rule is focused on reducing conflicts of interest that may arise in financial professionals’ investment recommendations for retirement accounts.

Financial Exploitation of Seniors Addressed in New FINRA Rules

  • May 30, 2017
  • By Glenn S. Gitomer

As the baby boom generation reaches retirement and the golden years, FINRA is taking a more active role to protect senior investors from exploitation and the loss of their life savings.

FINRA Arbitration: What’s It All About?

  • May 9, 2017
  • By Glenn S. Gitomer

FINRA's arbitration clause, when signed by a competent customer, is binding and enforceable. There is a great deal more to FINRA's arbitration process than most people realize. The process covers everything from fees, the number of arbitrators to how arbitrators are selected and hearings are conducted.

Beware of Excessive Investment Fees, Commissions and Margin Interest

  • Apr 12, 2017
  • By Glenn S. Gitomer

One must take into account trading costs and broker commission rates in order to determine if your investment portfolio is showing an actual gain or a loss.

Look Before You Leap: Check Out Your Financial Advisor On BrokerCheck

  • Industry Brief
  • Jan 6, 2017
  • By Glenn S. Gitomer

    Your life savings are rightfully important to you, and there is no more important decision you will make than the selection of a financial advisor to guide your investment decisions. BrokerCheck is a great tool to learn important information about your advisor.

    Look Before You Leap: Check Out Your Financial Advisor On BrokerCheck

    • Industry Brief
    • Jan 6, 2017
    • By Glenn S. Gitomer

      Your life savings are rightfully important to you, and there is no more important decision you will make than the selection of a financial advisor to guide your investment decisions. BrokerCheck is a great tool to learn important information about your advisor.