Structured products provide retail investors access to specialized asset classes as well as the possibility of returns linked to market shifts. Due to this, they are popular with investors who are looking to diversify their portfolios quickly or those in search of higher returns. At the same time, structured products come with real risks that […]

Alternative investments offer retail investors the opportunity to participate in emerging markets and hedge their bets against inflation. While alternative investments open up the possibility of high returns, these investments are also a high-risk proposition. They are typically less liquid and less regulated, making them less secure than traditional investments such as stocks or bonds. […]

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 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 […]

Investing in the stock market can be a great way to grow your assets and make money. However, it also comes with risks and potential losses. In some cases, investors may suffer losses due to securities law violations by their financial advisors or firms. When this happens, securities litigation can be an option for recovery. […]

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. […]

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.; […]

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 […]

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 […]

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 […]