Securities Litigation Blog

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.