Relatives and those FINRA identifies as “trusted contacts” should contact a securities attorney if they suspect elderly financial abuse. Advisory firms and the Financial Industry Regulatory Authority (FINRA) are supposed to have rules in place to stop seniors from experiencing financial abuse, but their rules and regulations may not do enough. For instance, FINRA Rule…

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Hedge fund attorneys pick apart complex investment strategies to identify fraud. These strategies allow investors to pool their money by using multiple investment strategies that often take both long and short positions on certain stocks. (Long positions anticipate that a share will increase in value. Short positions bet that a stock will lose value.) By…

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Sean Refsnider (CRD #: 4762963), a previously registered broker and investment adviser, has been barred by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on November 3, 2020. This came following his termination from Ameriprise Financial — read on to find out the details. On April 28, 2020, a client alleged…

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