Lori's Vignette's - Blog

What to do if you suspect stockbroker misconduct

By Lori Williams on November 6, 2012

Learn what does and does not constitute misconduct by a financial professional, and what investors should do when they suspect misconduct.

Posted in Blog, Financial, Legal | Tagged Consumer Protection Act of 2010, crisis, Dodd Frank, financial advisors, financial schemes, FINRA, investors, securities litigation, suitability | Leave a response

What you need to know about stockbroker misconduct

By Lori Williams on May 29, 2012

Learn the basics about stockbroker misconduct from Detroit Attorney, Peter Rageas.

Posted in Blog, Financial, Legal | Tagged arbitration, claims, FINRA, investment fraud, stockbroker misconduct | Leave a response