Category: Investor Education

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The Pros and Cons of Settling Vs. Pursuing Litigation for Investment Losses

Investment losses can be a significant financial burden that requires investigation and recourse. Two common strategies for dealing with investment losses are settling or pursuing litigation. This article investigates the advantages and disadvantages of both approaches, considering their respective effects on finances and legal implications. Settling is often seen as a more suitable option than litigation due […]

Understanding Unsuitable Investments

Understanding unsuitable investments is crucial for investors who want to protect their capital and achieve their investment goals. Unsuitable investments do not align with an investor’s investment profile, investment experience, risk tolerance, and investment time horizon. On the other hand, suitable investments are those that match an investor’s investment strategy and goals. Investors should be […]

Financial Advisor Christopher Hartman Facing Allegations for Unsuitable REITs, Investment Loss

Christopher Hartman is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1988 and previously worked for Kovack Securities, Inc.; TKG Financial, LLC; Morgan Stanley Smith Barney; Citigroup Global Markets, Inc.; Lehman Brothers, Inc.; Smith Barney, Harris Upham & Co., Inc.; and Talley, McNeil & Co., Inc. […]

Financial Advisor Paul Koch (RBC Capital Markets, LLC) Customer Complaints

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.; […]

Financial Advisor Robert Nyilas (Lebenthal Financial Services, Inc.) Customer Complaints

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, […]