We devote this last investor tip of Investor Awareness Month to our clients and friends (and particularly their parents), who have purchased a life insurance policy over the past twenty to thirty years. Many people purchased a life insurance policy with the understanding that in the event of their demise, a […]
Due to COVID-19, the Financial Industry Regulatory Authority said Monday that it has postponed all in-person arbitration and mediation proceedings scheduled through July 3. Parties that have an in-person hearing or mediation session scheduled through this date will be contacted by FINRA staff to reschedule or discuss remote scheduling options. […]
FINRA, the financial industry regulatory authority, often reminds investors to review their brokerage account statements and trade confirmations—with good reason. Not only do these documents help you stay on top of your investment holdings, but they also provide valuable information that can alert you to errors, or even misconduct by […]
In 2017 various securities regulators and states enacted the “Trusted Contact” rule for senior investors, (defined as people over 65 years old), and other “specified adults” (defined as persons age 18 years or older who have a mental or physical impairment that rendered the individual unable to protect his or […]
If you or your business has been adversely financially impacted by the COVID-19 pandemic and the associated economic downturn being experienced all across the globe, there may be some available relief. The recently enacted CARES Act revised some of the restrictions ordinarily in place on borrowing and making withdrawals from […]
