Author: Cody Berne

Investor Claims in Court and FINRA Arbitration

Mistakes made by even well-intentioned financial advisers, stock brokers, promoters, solicitors, and others who give investment advice or sell financial products sometimes come to light when markets are volatile or when a bull market ends.

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Free Tools to Research Investment Firms and Individuals

Investors have access to free electronic search tools through self-regulatory organizations, federal, and state regulators to research investment firms and professionals. This post describes several free tools that give access to information beyond what you can learn using Google and other search engines.

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World Elder Abuse Awareness Day

June 15, 2020 was World Elder Abuse Awareness Day. The Oregon Division of Financial Regulation used June 15 as an opportunity to remind all of us to help elders be on guard for financial exploitation.

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FINRA Warns Investors and Retirees

FINRA warned investors and retirees about investment advisors who are taking advantage of temporary changes to withdrawal rules from retirement accounts to encourage clients to invest in risky products that often charge high fees.

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