Items discussed in this newsletter:
- Third Party Subpoenas Severely Limited in Arbitration
- Citigroup Arbitration Agreement Enforceable
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Items discussed in this newsletter:
Items discussed in this newsletter:
Securities Arbitration – once a concept foreign to most attorneys, is now a reality for many individuals whose retirement nest eggs have been decimated within the past year. For better or worse, most individual and institutional investors who do business with firms that are members of the Financial Industry Regulatory Authority (hereafter “FINRA”), are required to resolve disputes through a FINRA administered arbitration process. For most Nebraska residents, this means that their dispute will be resolved through an arbitration proceeding that will occur in Omaha. Residents of western Nebraska may be required to travel to Cheyenne,Wyoming for their hearings.
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Sad, but true: many of us spend more time researching the latest digital device than a potential financial advisor. That camera may cost you $200. Turning your hard-earned money over to an advisor who doesn’t meet your needs could cost you your life savings.
How well do you know your financial advisor?
Would you like the answers to these questions?
If your financial advisor hasn’t provided them, it’s not too difficult to find the information on your own. You just have to do a little legwork.
Most of this information is contained on your financial advisor’s Central Registration Depository (CRD) Report. To get the report:
How can you use the information contained in the CRD Report?