Buying securities on margin is a powerful tool available to many investors, but it also comes with significant risk.  As more investors turn to margin trading to seize new opportunities in a rising market, they may also be opening themselves to an increased risk that jeopardizes their portfolio. Margin Statistics New figures released by the […]

Suffering losses is, unfortunately, a common occurrence within the securities industry and financial markets. As an investor, it’s something you get accustomed to over time. However, these losses should never be caused by the conduct of your stockbroker. You may not be able to change what has already happened, but by taking action as soon […]

The financial sector is an important part of the nation’s economy. This means when fraud or misconduct occurs within the financial sector, the entire country can be affected financially. Fortunately, the Financial Industry Regulatory Authority (FINRA) provides opportunities to investors like you who may have been defrauded in the financial sector to recover their losses.  […]

Wayne Miller (CRD # 4813645) is a Financial Advisor at Aeon Capital Inc. in Scottsdale, AZ. Wayne Miller has been in the securities industry since 2004 and previously worked at American Asset Advisory, LLC, Accelerated Capital Group, and Longview Financial Group, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Did your broker or brokerage firm recommend that you invest in alternative investments? Did you end up losing money and believe your financial advisor is responsible?  If so, you aren’t alone. More and more investors have been taken advantage of in recent years as the popularity of alternative investments grows. You can learn more about […]

Whether you are new to investing and shopping for a stockbroker or are a seasoned investor who has been working with the same financial advisor for years, it’s always important to educate yourself about who your broker is and how they conduct business.  There are many different reasons why you should check your broker, but […]

Everyone knows that mistakes happen, but when you have a considerable amount of money on the line, a little mistake can result in substantial losses. Fortunately, the Financial Industry Regulatory Authority (FINRA) provides opportunities for people who have wrongly suffered investment losses to recover them in arbitration.  But your complaint can only be successful if […]

The Wolper Law Firm, P.A., PA is investigating claims against various brokerage firms around the country that marketed and sold conservation easements to their customers as tax shelter investment opportunities. Many of the representations and sales pitches made to brokerage firm customers were unsubstantiated and without any attending ruling from the Internal Revenue Services (IRS) […]

Investors trust that their financial advisors are prioritizing their financial interests over their own. Often investors will give their brokers the authority to make trades and transactions in their accounts under very specific circumstances, at certain prices, or during a certain period of time.  When transactions are made that do not meet these conditions and […]

Whether you are a seasoned investor searching for a new financial advisor or are new to investing and interested in working with a stockbroker or financial advisor who can advise you accordingly, it is critical that you take an interest in potential financial advisors’ experience.  A good way to do this is by reviewing your […]