stock broker claims Archives - The Krudys Law Firm

Broker-Dealer Faces Big Fine for Failure to Supervise

April 4, 2014/in Securities Law /by Mark Krudys

Last week, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial LLC, one of the country’s largest networks of independent broker-dealers, $950,000 for its failure to supervise sales of alternative investment products, including non-traded real estate investment trusts (REITs), oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through […]

Claims Against Stockbrokers

March 6, 2014/in Securities Law /by Mark Krudys

Disputes frequently arise between investors and their securities brokers. It is best to be proactive if you believe your broker has mismanaged your investments. As an investor, you may report any issues or disputes to your broker’s manager or the brokerage firm’s compliance department. You should keep notes of all telephone calls with your broker […]

Posts