Investors who do not qualify as accredited investors may be able to sue to recover their losses.
Print this ArticleDid Your Financial Advisor Put All Your Eggs in One Basket? What Is Portfolio Diversification? Portfolio diversification is the practice of allocating assets so that your exposure to any single type of investment product or industry is limited. Diversification can greatly mitigate the volatility and risk in a portfolio, helping it to meet […]
Print this ArticlePaying a Fair Price: Duty of Best Execution The duty of best execution is a legal requirement under the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) rules. It mandates that brokers must always provide the most advantageous order execution possible for their customers at all times. The purpose […]
Print this ArticleIt’s become increasingly popular for both start-ups and established companies to offer employees restricted stock as part of their compensation package. These securities are unregistered private sale stocks that are stamped with a restrictive legend that prohibits them from being sold publicly but Securities and Exchange Commission (SEC) Rule 144 allows the restrictive […]
Print this ArticleWhen you hold your money in a bank account or process transactions using a credit card, there are legal protections in place to offer zero-liability protection. This means that if you experience unauthorized transactions due to fraud, as the account owner, your money isn’t on the line. You’ll be reimbursed for the damages, […]