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FINRA Issues Investor Tips for 2019

FINRA recently issued an Investor Alert containing essential tips to assist individuals to invest with confidence and care in the coming year. Do not wait to begin to invest for retirement. By waiting, investors often miss out on the ability for thei… Read More
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Categories: News & Updates

Global Stock Indexes End 2018 With Losses

2018 was not a positive year for stock markets around the globe. Stocks began the year trending upward, but then suffered a tough stretch of selling in the final months of the year as investors’ viewpoint of the global economy turned gloomy. The St… Read More
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Categories: News & Updates

Major Indexes Off To Worst December Start Since 1980

The list of bear market stocks and sectors continues to grow every day showing how broad the continued market selloff has been. As a result, the Dow Jones Industrial Average, the S&P 500, and the Nasdaq Composite are off to their worst start to D… Read More
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Categories: News & Updates

American Finance Trust, Inc. (Symbol: AFIN)

American Finance Trust, Inc. (“AFIN”) is a publicly traded real estate investment trust focused on acquiring and managing a diversified portfolio of primarily service-oriented and traditional retail and distribution related commercial real estate… Read More
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FINRA Publishes 2018 Report on Examination Findings

On December 7, 2018, FINRA published its 2018 Report on FINRA Examination Findings which details observations from recent exams of FINRA member brokerage firms that it considers worth highlighting due to their potential significance, frequency, and i… Read More
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Categories: News & Updates

Brokerage Firm Baird to Acquire Hilliard Lyons

Baird Financial Group announced on November 27, 2018, that it had agreed to buy regional wealth management firm Hilliard Lyons, a smaller brokerage rival based out of Louisville, KY. Baird employs over 850 brokers at its Robert W. Baird broker-dealer… Read More
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Categories: News & Updates

Hospitality Investors Trust Inc. (formerly American Realty Capital Hospitality Trust)

Hospitality Investors Trust Inc. (formerly known as American Realty Capital Hospitality Trust) is a publicly registered non-traded real estate investment trust (“REIT”) which owns a portfolio of hotel properties throughout North America. Read More
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Claims of Broker Misconduct Often Inaccurately Reported on Form U-5s

As recently noted in research reported by Bloomberg News, false claims of financial advisor misconduct are more common than people may think. Read More
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Categories: News & Updates

UBS Denied Recovery on Promissory Notes

A recent FINRA arbitration panel denied UBS’ request to recover over $500,000 on 6 promissory notes signed by a departing financial advisor in the matter of UBS Financial Services v. Creekbaum (FINRA Case No. 15-02079). Read More
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Categories: News & Updates

Broker Protocol Is No Shield to Advance Notice Provisions in Georgia

Since the Protocol for Broker Recruiting was enacted, advisors that departed one protocol firm for another were typically shielded from liability for taking designated client information and/or soliciting clients serviced at their prior firm. However… Read More
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Categories: News & Updates

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