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February 2017 Archives

Have You Looked Up Your Broker's History?

Broker misconduct is a major problem and a risk for investors who put their hard-earned money into the trust of financial advisors who are supposed to protect their wealth. In 2016, United States Senators Elizabeth Warren (D-Mass.) and Tom Cotton (R.-Ark.) wrote a letter to the financial industry regulatory authority (FINRA) requesting information about what the agency was doing to address adviser misconduct, recidivism and firms that employ a notably large number of brokers with a history of misconduct.

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For a free consultation with an experienced New York City securities litigation lawyer, contact the law firm of Timothy J. Dennin, P.C., by calling 866-437-9475.

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