When Can You Hold Your Broker-Dealer Accountable for Investor Losses Caused by Unsuitability? Longtime Merrill Lynch Financial Advisor William King Resigns Following Allegations of Broker Misconduct Vero Beach, Florida broker William Worthen King has reportedly voluntarily resigned after 37 years as a Merrill Lynch registered representative. The move comes following…
When Broker-Dealer Supervisory Failures Don’t Protect Investors’ Best Interests Our Trusted Brokerage Firm Negligence Lawyers May Be Able To Help You Pursue Damages The Financial Industry Regulatory Authority (FINRA) is ordering two broker-dealers to pay penalties for compliance failures related to Regulation Best Interest (Reg BI). According to the self-regulatory…
Are You Wondering Whether Your Investor Losses Were Due To Financial Advisor Unsuitability? Customers of Ex-ProEquities Broker Adam Feierstein Allege Unsuitable Investment Recommendations If you suffered serious investor losses, you may be a victim of unsuitability involving your financial advisor. This typically involves a broker recommending a financial product or an investing…