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Category: Investor Education

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Former RBC Capital Markets Financial Advisor Paul Koch Barred by FINRA

Paul Koch (CRD#: 1777599) is a previously registered Broker and Investment Advisor. Broker’s Background Paul Koch entered the securities industry in 1987 and previously worked for RBC Capital Markets, LLC; UBS Financial Services, Inc.; Citigroup Global Markets, Inc.; Miller Johnson Steichen Kinnard, Inc.; John G. Kinnard & Company, Inc.; Prudential Securities, Inc.; Piper Jaffray, Inc.; […]

Former Lebenthal Financial Services Broker Robert Nyilas Barred Indefinitely by FINRA After Refusing to Participate in Investigation into Unsuitability Allegations

Robert Nyilas (CRD#: 1030273) is a previously registered Broker. He entered the securities industry in 1982 and previously worked for Lebenthal Financial Services, Inc.; Advisory Group Equity Services, Ltd.; Source Capital Group, Inc.; Gilford Securities Incorporated; Gruntal & Co.; LLC; Herzfeld & Stern, Inc.; E.F. Hutton & Company, Inc. According to publicly available records released […]

How to Recover Losses from Distressed Securities

Distressed securities refer to financial instruments belonging to a company that’s experiencing financial distress or is in bankruptcy. Though risky, these types of securities are popular for attracting aggressive investors who are looking to make a big cash-out. Unfortunately, this includes financial advisors and brokers you might have trusted with investment money, too.   Since distressed […]

Alternatives to FINRA Arbitration

When it comes to resolving a securities dispute between investors and brokers, it’s essential to be aware of the dispute resolution options available.  FINRA arbitration is one of the most popular, non-judicial forms of resolving a securities dispute. However, from the perspective of an investor, what are the alternatives—if any—to opting for binding arbitration? Read […]

Wandering Financial Advisors

Financial investments are big life decisions. When you decide to put your money in securities or bonds, you likely have a plan for things like your children’s college fund, a retirement account, growing an inheritance, and so on.  As such, it’s important to do your due diligence when selecting the financial advisor you work with. […]

How to Reduce Your Chances of Broker Theft Out of Your Customer Accounts

Reported instances of broker theft out of customer accounts are on the rise, and the move to all-online access to brokerage accounts and transactions may be making it easier for unethical financial advisors to act. So what can you do to reduce the chances that your financial advisor has access to your outside bank accounts, […]

Investment Loss Recovery Focus: Hedge Funds

Hedge funds can be a great investment opportunity for certain investors. But they are also quite risky. And if you can’t afford to absorb that risk, you shouldn’t be investing in hedge funds. Unfortunately, many financial advisors and stockbrokers fail to take their investors’ priorities into account and will recommend investment in hedge funds to […]

Wavecrest Securities Broker Louis Kreisberg Barred by FINRA After Failing to Participate in Investigation of Unsuitability Allegations

Louis Kreisberg (CRD#: 1352881) is a previously registered Broker at Wavecrest Securities, LLC in Brentwood, TN. He entered the securities industry in 1985 and previously worked for Pickwick Capital Partners, LLC; Trump Securities, LLC; Joseph Capital, LLC; United Planners’ Financial Services of America A Limited Partners; John Hancock Mutual LIfe Insurance Company; John Hancock Distributors, […]

Mutual Fund Misconduct: Here’s 3 Things You Need to Know

The last thing you ever expect is to suffer massive financial losses after investing in mutual funds. Every investment has some risk, but if you suffered losses, you may be able to recover them in arbitration before the Financial Industry Regulatory Authority (FINRA). However, you can only win your complaint if you can show to […]

Common Types of Alternative Investments

An investment made in asset classes that aren’t stocks, bonds, or cash are considered alternative investments. Not all investors are a good fit for alternative investments, and there are many types of alternative investments for investors to choose from. Unfortunately, just because your stockbroker recommends alternative investments doesn’t mean they’re the right option for you […]