News And Thoughts On The Law In And Around New Orleans

FINRA Expunges Records from BrokerCheck

Posted by Nicholas Berg | May 19, 2021 | 0 Comments

Many investors rely upon BrokerCheck, a resource maintained by the Financial Industry Regulatory Authority (FINRA), to research whether their broker has been the subject of complaints by regulators or other customers. However, many investors do not realize that the information provided by BrokerC...

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FINRA ends Moratorium on In-Person Hearings

Posted by Nicholas Berg | May 18, 2021 | 0 Comments

Due to COVID-19, the Financial Industry Regulatory Authority (FINRA) has administratively postponed all in person arbitration hearings since the COVID-19 pandemic began in spring of 2020.  For all practical purposes, this moratorium on in-person hearings has prevented investors form being able to...

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Coronavirus and Margin Calls

Posted by Nicholas Berg | Apr 02, 2020 | 0 Comments

Margin calls have become a major issues for investors as a result of the market turbulence caused by the coronavirus (COVID-19) pandemic.  Many investors use margin loans through their brokerage firm that are collateralized by the securities in their investment accounts.  FINRA has reported that,...

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Does Your Broker Have a Conflict of Interest?

Posted by Nicholas Berg | May 17, 2019 | 0 Comments

Does your broker have a conflict of interest? The answer, most likely, is yes. The traditional form of compensation received by brokers is a commission each time an investment is bought or sold in your brokerage account. This compensation structure gives your broker financial incentives that are ...

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The End of Forced Arbitration?

Posted by Nicholas Berg | Apr 03, 2019 | 0 Comments

Whether you realize it or not, if you have an account with a brokerage firm, it likely includes a mandatory arbitration provision, which provides that you waive your right to file suit against the brokerage firm in court. Instead, all disputes with the brokerage firm will be submitted to arbitrat...

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