Scottrade, Inc. has been fined
Scottrade, Inc. Has Been Fined Scottrade, Inc. has been fined $950,000 for their failure to supervise wiring processes of customer funds to third party accounts. Scottrade has conducted a total of $880 million consisting of over 17,000 third party wire transfers between October 2011 and October 2013. Scottrade was fined for failing to secure customer…
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Are Bonds Really Safe
Are Bonds Really Safe Bonds Bonds are often promoted as “limited risk” investment products. Brokers or brokerage firms have an obligation to assure that investing in a bond is an appropriate fit for their customer. They also have the duty to fully disclose potential risks to their customers in order to guarantee a fully informed…
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Did Your TIC Foreclose?
Did Your TIC Foreclose? Did you invest in TICS and lose almost all your money? Our firm has successfully handled dozens of TIC cases. We aggressively seek recourse for clients who have lost money invested in TICS. FINRA has a 6 year eligibility rule, meaning, that you have 6 years from the “occurrence or event…
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