FINRA is the Financial Industry Regulatory Authority, a self-regulatory organization charged with regulating the securities industry. It is the successor to the National Association of Securities Dealers, Inc.…
Read More
IRA or 401(k) Losses No Downside Warnings Overtrading or Churning Evasive Answers Advice to Retire Early Illiquid Investments High Pressure Sales Tactics Promises of Minimal or No Risk…
Read More
OVERCONCENTRATION. Having a well-balanced investment portfolio helps investors survive the ups and downs of the market. But overconcentration in a particular product type or market sector can expose…
Read More
FINRA HISTORY. FINRA maintains a database of a broker’s activity in the securities industry, including his/her employment history as well as all complaints that have been lodged against…
Read More
