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Confirming your Financial Advisor

When choosing your financial advisor, ensure that he or she has a custodian.

Overview of Federal Banking Regulations

Fraudsters cannot act alone to perpetrate their schemes. They universally require professionals — banks, accountants, law firms, or a combination of all of the above — to provide legitimacy and enable a fraud to survive.

Standard Causes of Action in FINRA Arbitration

Let’s briefly identify and explain a few common causes of action that the investor can bring against a broker in a Statement of Claim.

Are You Being Targeted by a Ponzi Schemer?

“An ounce of prevention is worth a pound of cure” is never truer than in the context of a Ponzi scheme.