New Article – Form U5 Information Gets to BrokerCheck Faster with New FINRA Rule Change

Investor Defenders have published a new article. Form U5 Information Gets to BrokerCheck Faster with New FINRA Rule Change Effective December 12, 2015, certain information provided on the registration termination paperwork (Form U5) for a brokerage firm or terminated broker will be accessible on BrokerCheck in 3 business days instead of 15. Be sure to […]

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New Article – Banks Quoted in Investment News Article

Investor Defenders have published a new article. Banks Quoted in Investment News Article Regarding Expungement Language Investor Defender attorney Robert S. Banks, Jr. was recently quoted by Investment News, in an article about FINRA arbitration expungement procedures. Be sure to check their website for the full article. If you have concerns about your financial advisor or investment portfolio, […]

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New Article – FINRA Examines Broker Compensation Conflict

Investor Defenders have published a new article. FINRA Examines Conflict in Broker Compensation As reported by Investment News recently, FINRA has sent letters to brokerage firms asking about Broker Compensation. The goal is to discourage firms from selling products that benefit the brokerage firm and the broker at the expense of the customer. Be sure […]

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New Article – Asset Allocation

Investor Defenders have posted a new article. Asset Allocation – The Life Raft in a Stock Market Storm Stock market decline should not rattle investors who are properly asset allocated. Asset allocation as a predictor of stock performance. The recent plunge in the stock market is grabbing headlines and making investors anxious. Be sure to […]

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New Article – Banks Speaks to DFCS About FINRA Arbitration

Investor Defenders have posted a new article. FINRA Arbitration 101 Securities attorney Robert S. Banks, Jr. traveled to Salem, Oregon today to discuss FINRA arbitration with a select group of regulators at the Department of Finance and Corporate Securities (DFCS). Banks’ presentation detailed the arbitration process from start to finish. Be sure to check their website for […]

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