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Category Archives: FINRA

FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent Misrepresentations and Omissions in Connection With Variable Annuity Replacements

By Gregory Tendrich, P.A. |

If you invested in a MetLife variable annuity and have suffered losses or have questions regarding this investment, please call for a free consultation at 561-475-1332 today. In addition to MetLife variable annuities, we regularly handle cases involving unsuitable investments, churning, hedge funds, Ponzi schemes, securities arbitration, broker fraud, misrepresentation, exploitation of the elderly, and… Read More »

Investor Bulletin: 10 Investment Tips for 2016

By Gregory Tendrich, P.A. |

Whether you are a first-time investor or have been investing for years, here are ten tips from the SEC’s Office of Investor Education and Advocacy to help you make more informed investing decisions and avoid common scams in 2016. Always check the background of an investment professional − it is easy and free. Details… Read More »

SEC Charges Texas Army Veteran With Defrauding Fellow Servicemen

By Gregory Tendrich, P.A. |

On April 13, the U.S. Securities and Exchange Commission charged Leroy Brown, Jr., of Killeen, Texas, with securities fraud. The SEC said Brown, a 12-year veteran of the U.S. Army, conducted a “fraudulent scheme to lure current and former U.S. military personnel and others to invest with him and his firm.” A federal judge… Read More »

FINRA Launches Toll-Free FINRA Securities Helpline for Seniors

By Gregory Tendrich, P.A. |

FINRA News Report – Monday, April 20, 2015 WASHINGTON—The Financial Industry Regulatory Authority (FINRA) has launched the toll-free FINRA Securities Helpline for Seniors™ to provide older investors with a supportive place to get assistance from knowledgeable FINRA staff related to concerns they have with their brokerage accounts and investments. Senior investors can call FINRA’s new toll-free… Read More »

Understanding the FINRA Arbitration Process

By Gregory Tendrich, P.A. |

What happens when there is a dispute between you and your investment broker? When you open a brokerage account, you typically sign some sort of customer agreement. This agreement usually contains language requiring arbitration to resolve any disagreement or dispute arising from your account. But what does “arbitration” actually mean? Arbitration and FINRA Arbitration… Read More »

The Basics of “Secured Notes”

By Gregory Tendrich, P.A. |

Investors should always be skeptical about complicated-sounding investments that promise to minimize or eliminate risk. One such type of investment is known as a “structured note.” This describes any hybrid security that includes multiple financial products. Structured Notes Structured notes are linked to some other index or security. Here is a simple example of… Read More »

FBI Arrests Alt Fund Manager on Securities Fraud Charges

By Gregory Tendrich, P.A. |

A traditional mutual fund buys and holds securities, such as stocks or bonds. But in recent years, many investors have flocked to so-called alternative mutual funds (alt funds), which rely on one or more non-traditional investments or trading strategies. Although similar to hedge funds, alt funds are still considered mutual funds, which means they… Read More »

“Free Lunch” Investment Seminars Not Always Only About Education

By Gregory Tendrich, P.A. |

According to “Save and Invest”—a website and newsletter run by FINRA’s Investor Education Foundation—over 6 million Americans 55 and above have attended a “free lunch investment seminar.” But as FINRA also notes that these seminars are often less about education than they are about sales. “[A]ttendees are often pressured into making unsuitable—or even fraudulent—investments,”… Read More »

FINRA Urges Focus on “Concentration Risk”

By Gregory Tendrich, P.A. |

No two investors are the same. They have different income goals, different risk tolerances, and different time horizons—among other differentiating factors. Indeed, one of the most common ways in which investors and brokers get into disputes with each other is through complaints of “unsuitability.” This is an argument by the investor that his or… Read More »

FINRA Criticized for Being Lenient on Financial Brokers

By Gregory Tendrich, P.A. |

On May 29, 2014, one of five Commissioners of the Securities and Exchange Commission gave a speech to FINRA’s Division of Market Regulation. While the SEC is the final government regulator of the country’s securities industry, FINRA—or the Financial Industry Regulatory Authority—is a key player in U.S. markets. FINRA is not itself a government… Read More »

Gregory Tendrich, PA
Gregory Tendrich, P.A. serves clients throughout Florida, including the cities of West Palm Beach, Palm Beach, Delray Beach, Boynton Beach, Boca Raton, Port St. Lucie, Lake Worth, Wellington, Riviera Beach, Palm Beach Gardens, Fort Pierce, Vero Beach, Hobe Sound, Jupiter Island, North Palm Beach, Lake Park, Lantana, Stuart, Palm City, Jensen Beach, Tequesta and Juno Beach and represents clients in Palm Beach County, Martin County, St. Lucie County, Indian River County and throughout Florida.

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