The Trusted Attorney For Victims And Families
Recently, the SEC has approved a new rule from the Financial Industry Regulation Authority. Under this new rule, brokerages and dealers with a history of risky behavior will need to keep a prudent reserve on hand. Pennsylvania residents should know that this money...
When Pennsylvania residents choose a financial advisor, they hope that person will act in their best interests. People are often advised to look for a fiduciary, but even that category has become clouded with the emergence of hybrid fiduciary financial advisors....
Throughout Pennsylvania, many people are hoping to improve their finances by investing. However, there are also many people and companies that use fraudulent tactics to make money of their own. Considering that, here are several common tactics that could be an...
Many companies throughout Pennsylvania do their parts to have a diverse workforce. Unfortunately, not every business is experiencing the benefits of having a diverse team of employees. With that in mind, the SEC recently approved new Nasdaq rules that could put an end...
Traditionally, many brokerage firms in Pennsylvania and around the country worked on commission or fees. When someone placed an order to buy stock, the brokerage added a charge for that action. In recent years, services like Robinhood introduced trading with no...
When an insurance claim is denied in Pennsylvania, the first thing to determine is whether the plan falls under the Employee Retirement Income Security Act. This act, passed by Congress in 1974, allows companies to self-fund insurance programs. This means the company...
To avoid making bad investments in Pennsylvania, you should check with FINRA's online database to vet a potential broker you want to work with. This database contains all the disclosure information about brokers and securities firms, including other customers'...
FINRA is very helpful to those that live in Florida and throughout the United States. They make sure that there is integrity behind the financial system in America. The Securities and Exchange Commission surprises them, and all of this gets done without the taxpayers...
The Securities and Exchange Commission (SEC) establishes regulations for buying and selling securities, which include stocks and bonds, to prevent investment fraud. Securities fraud is classified as a white-collar crime, or a nonviolent financial scheme. Two common...
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...
