The FINRA Investor Education Foundation has issued an investor alert regarding promotions about certificates of deposit (CDs) promising interest rates that are substantially higher than current averages. FINRA has observed offers for “low-risk” products...
By Jerry Carter. A current issue in securities arbitration is whether, and under what circumstances, an issuer of securities may compel a member of the Financial Industry Regulatory Authority (“FINRA”) to arbitrate a dispute. The United States District...
By Jerry Carter. An investor is sometimes faced with a situation in which he or she holds an illiquid investments that is nominally performing even though the investment’s risk profile has increased due to factors that were misrepresented or inadequately disclosed at...
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