News | Fishman Haygood Investment Fraud Lawyers | New Orleans

Oct 06

Signs You May Have Claim For Securities Fraud

By Patricia Christovich Resources

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…

Oct 02

Possible Indications of Securities Fraud by a Broker

By Patricia Christovich Resources

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…

Oct 02

Top Five Things to Do Before Hiring a Broker or Financial Advisor

By Patricia Christovich Resources

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…

Oct 01

FINRA

By Patricia Christovich Glossary

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.…

Oct 01

Churning

By Patricia Christovich Glossary

Churning is excessive trading in a customer’s investment account in order to generate additional commissions for the broker.

Oct 01

Breach of Fiduciary Duty

By Patricia Christovich Glossary

Those who have a “fiduciary duty” owe a duty of care and a duty of loyalty to their clients, and are charged with acting in the client’s best…

Signs You May Have Claim For Securities Fraud

Possible Indications of Securities Fraud by a Broker

Top Five Things to Do Before Hiring a Broker or Financial Advisor

FINRA

Churning

Breach of Fiduciary Duty

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