Tagged with "funds"

FINRA Looks to Firms to Curb Elder Abuse

Posted on November 6th, 2016 at 3:00 PM
FINRA Looks to Firms to Curb Elder Abuse

As the population continues to age, FINRA has proposed new regulations that would expand wealth management firms' responsibilities as well as their scope of action with regard to the financial abuse of the elderly. 

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TESTIMONIALS

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

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FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

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