Tag: NASD

High Risk Stocks in Your Account? Your Stock Broker could be Liable

Did you know that a claim of Unsuitability could be filed if your stock broker over-concentrates high-risk and speculative securities in your account.   This broker...

Are FINRA Arbitration Panels Fair?

Let me first set the stage and describe how securities arbitration has evolved. In 1987 the Supreme Court ruled that customary brokerage customer agreements calling...

What is FINRA?

The initials, FINRA, stand for Financial Industry Regulatory Authority.  This, however, is a misleading description and hardly represents the real role FINRA plays in the...

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