General FAQs

What is FINRA?
Learn More About FINRA’s Regulatory Practices

FINRA, or the Financial Industry Regulatory Authority, is the largest independent regulator. Known to regulate all securities firms conducting business in the United States. Established in July of 2007 through the consolidation of the Financial Industry Regulatory Authority and the enforcement arm of the New York Stock Exchange (NYSE).

FINRA dedicates itself to investor protection and market integrity through the regulation of broker-dealers. It is separate from government entities. And is a non-profit organization that Congress has authorized to protect America’s investors.

What is Fiduciary Duty?
Obligations of the Fiduciary Duty

Fiduciary duty refers to the relationship where one party places a significant amount of trust in the integrity and fidelity of the other party. This relationship becomes a legal obligation, and a position of superiority or influence is created. The law then imposes certain obligations on the fiduciary.

In many places, brokers owe a fiduciary duty to their securities clients. If you think that your broker or brokerage firm may have breached their fiduciary duty, contact a securities lawyer to determine if you have a case.

What is a Hedge Fund?
Hedge Funds Involve Potential Risks

A Hedge Fund is an investment pool managed to reach positive investment returns. Unlike mutual funds, the investment strategies of hedge funds are usually much more flexible. Commonly, the hedge fund has minimal obligations for reporting and disclosure to its investors.

Many investors invest in hedge funds, assuming that they protect their portfolios from negative markets. However, this is not entirely factual. Hedge funds usually come with a fair amount of risk and often underperform the market. They come with annual fees of two percent and a twenty percent fee of any profits. Hedge funds are also exempt from state securities and most federal laws.

Due to these reasons, hedge funds are not required to follow essential disclosure protections that apply to most other investments. Investors are out of the loop with their investments. Often, about what they have invested in and how those investments are performing.

Client Reviews
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