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Some employees are given a 401(k) retirement plan as part of their compensation package. Employees are usually asked to commit a percentage of their paychecks each pay period to this account. When this process works as normal, the employer might offer to match it, and...
The Securities and Exchange Commission regulates tradable financial tools, or securities, such as stocks and bonds. Insider trading is a familiar term to many stock traders in Pennsylvania. Many people still associate insider trading with fraud, but not all of it is...
Residents of Pennsylvania who have investments should be aware of certain actions that are not allowed by investment brokers. This conduct, as stated by FINRA, is strictly prohibited. Illegal actions to watch out for Knowing which actions are legal, and which ones are...
Securities law in Altoona, Pennsylvania, helps regulate the buying and selling of stocks, shares, bonds, and other investments to prevent fraud. Congress enacted these laws in 1933 after the stock market crash of 1929. A common breach of securities law includes...
Pennsylvania employees who become ill or suffer an injury may need to file a claim for benefits. Known as an ERISA claim, this type of claim is intended to tap into long or short term disability benefits for the disabled employee. Unfortunately, not all claims are...
The Financial Industry Regulatory Authority (FINRA) issued a new regulatory notice in response to the growing number of customers in Pennsylvania and around the country who desire to open brokerage accounts and trade options. The notice is designed to remind FINRA...
Securities fraud is a type of white-collar crime in Pennsylvania that entices investors to make a financial decision based on deceptive tactics. This deception often causes investors to lose large amounts of money, breaking securities law. There are several types of...
Across Pennsylvania and the other states, more than 5 million citizens have a legal responsibility to manage other people's money. This is referred to as a fiduciary responsibility. The Center for Fiduciary Studies is paving the way in setting an industry standard for...
Investors rely on one thing above all else: fair financial markets, especially when planning for retirement. While it's prudent to employ an experienced financial adviser's services, it is not uncommon for advisers to take advantage of clients. If you live in...
Pennsylvanians who trade with Robinhood — or people thinking about investing in the company once it goes public — should read up on its latest revelation. According to reports, the company has set aside over $25 million to settle with FINRA. What is FINRA? FINRA...
