Staff AttorneyJun 1, 20182 minSA Stone Wealth Management Broker Christopher Wendel Barred for Private Securities TransactionsChristopher Wendel (Wendel), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
Staff AttorneyMay 18, 20182 minLPL Financial Broker Bradley Everett Gardner Barred for Conversion of Customer FundsBradley Everett Gardner (Gardner) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
Staff AttorneyMar 15, 20182 minWhat is Breach of Fiduciary DutyBreach of fiduciary duty is one of the most common investor claims against financial advisors (stock brokers) and brokerage firms. At...
Staff AttorneyJan 10, 20182 minImproper Asset Allocation is a Common Investor Claim What is Asset Allocation? Financial advisors have a duty to recommend suitable investment strategies, including a proper asset allocation....