Month: February 2012

FINRA-Schwab Fight Over Class Action Waivers is Ongoing

By George C. Miller — posted in Securities Arbitration & Litigation on Friday, February 24, 2012.

Class Actions FINRA

In early February, FINRA initiated disciplinary proceedings against Charles Schwab & Co. claiming the firm violated FINRA rules by requiring…

Top Ten Unsuitable Investments to Watch Out For

By Erwin J. Shustak — posted in Investor Claims & Financial Fraud on Monday, February 6, 2012.

Investor Protection

These are the Top Ten Unsuitable Securities Investments to Watch Out For during 2012, as compiled by FINRA. For most…

FINRA Cautions Against Chasing High Yields In A Low Rate Environment

By George C. Miller — posted in Investor Claims & Financial Fraud on Thursday, February 2, 2012.

FINRA Investor Protection

In January, the Federal Reserve announced it will keep interest rates low until at least late 2014 in a continued…