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Florida law treats securities fraud in a serious way. If you are facing such charges, your entire life could change. You can expect to deal with a minimum of a fine and prison sentence if convicted. One common example of a securities fraud is insider trading. But what...
In Florida, the law treats fraud crimes in a harsh way. If you face charges for securities frauds, you also face the possibility of a hefty penalty if convicted. Securities frauds come in many different forms. Each potential version might have different related...
The Financial Industry Regulatory Authority, known as FINRA, recently announced updates to its guidelines for issuing sanctions to investors accused of practice violations. The updates took effect in October of 2020 and highlight the importance of discretion and...
Cryptocurrencies are still young, but they have grown exponentially since they first came on the market. People now even use cryptocurrencies as investment tools, especially when demand for specific digital currencies lead to spikes in value. Over the past few years,...
If you provide investment advice, you likely encounter a number of different hurdles every day. Aside from dealing with difficult customers and uncertainty over complex regulations, some investment advisers face serious threats to their livelihood as a result of FINRA...
As an investor, you probably use the internet as a tool. While you may make some worthwhile connections, you also need to keep in mind that there are fraudsters who also utilize the internet. According to the U.S. Securities and Exchange Commission, there are several...
The Financial Industry Regulatory Authority is a non-profit organization authorized by the government. Its purpose is to ensure the integrity of the market and provide basic protection to investors. It is a self-regulatory organization operating under the supervision...
The FINRA is an organization that assists with ensuring fairness in the investment industry. It is not government-associated, but it does help to uphold the law and has regulatory authority granted to it by the government. According to the FINRA, you should always...
Millions of people in Florida and throughout the United States invest their money in stocks, mutual funds, investment bonds and physical commodities in hopes of growing their nest egg. As an investor, people also place their trust and assets in the hands of stock...
Many investors know the crushing reality of investing money into something with hope and optimism only to find out that the investment was a mistake. In some cases, it may be your own mistake. You may not have analyzed the situation properly. In other cases, however,...