Although the stock market has increased the wealth for many, there are brokers and brokerage firms that take advantage of and abuse the investors that they claim to be helping. The Financial Industry Regulatory Authority (FINRA) is a forum to resolve securities disputes between investors and registered brokers and broker-dealers.
From churning accounts, improper product placement, lack of diversification, there are many nefarious actions taken by those entrusted with an investor’s finances.
If you suspect any wrongdoing by a broker, advisor, or brokerage firm, please contact Kubacki Law.
