FAQ

I think that I have suffered losses as a result of the actions of my broker, what should I do?

Not all losses suffered in an investment account are the fault of your broker, but many times they can be.  We will analyze your specific… More

What is FINRA?

FINRA is the “Financial Industry Regulatory Authority.”  FINRA is a non-governmental regulator of securities firms that focuses on investor… More

What is a FINRA Arbitration Proceeding?

FINRA Arbitration is a legal proceeding designed to address disputes between investors and their brokers or the firms that employ the brokers. … More

Recent News

WFG Investments Inc. broker, Stuart Dickinson Barred by FINRA from the Securities Industry

Per a default decision in Disciplinary Proceeding #2012033286901, Stuart Dickinson was barred from any association with a FINRA member in any… More

Former Ameriprise broker, Tom Parks, Subject of Multiple Customer Complaints for Unsuitability

Tom Parks was an Ameriprise Financial Services broker from 1993 till he was terminated in April of 2016.  He was terminated following multiple… More

Commonwealth Financial Broker James A. King III, Subject of Customer Complaints Regarding Retirement Accounts

Per his FINRA BrokerCheck report, Commonwealth Financial Network Broker and Austin Financial Management principle James A. King III was the… More