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News And Thoughts On The Law In And Around New Orleans

FINRA Expunges Records from BrokerCheck

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...

Coronavirus and Margin Calls

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...

The End of Forced Arbitration?

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...