The Financial Industry Regulatory Authority (FINRA) is an organization designed to protect investors by ensuring broker-dealers operate ethically. One of the ways FINRA accomplishes this goal is by using the arbitration process to help settle disputes. Arbitration...
What to know about investing in digital currency
Traders in New York and throughout the country can make significant profits trading cryptocurrencies such as Bitcoin or Ether. However, traders or investors must understand how these currencies differ from traditional currencies such as a dollar. In most cases, the...
What is misrepresentation and omission?
Trusting your money to an investment broker always involves some degree of risk. However, if you lose a substantial portion of your finances in a relatively low-risk investment, it may be worth investigating potential instances of misrepresentation and omission....
Process for reporting broker misconduct to the SEC
Investing money depends on the parties conducting transactions to operate ethically and legally. The Financial Industry Regulatory Authority is an entity set up by the U.S. Congress to govern brokers and financial dealers in New York and nationwide. This nonprofit...