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Among the criticisms I have leveled against FINRA are (1) that it is increasingly acting like a claimant’s arbitration attorney, by taking every possible opportunity to blame member...
The FINRA order includes allegations relating to the LJM Preservation & Growth Fund, another product sold in large numbers by the industry.
Advisers scramble to make sense of recent market volatility As broad market indexes continue to decline, giving back most of the gains they've made so far this year, advisers say clients are growing fearful of a repeat of March 2020. March 5, 2021 3 MINS With the S&P 500 Index down more than 3% over the first five days of March and hovering near its level at the start of the year, financial advisers say some clients are starting to worry that stocks are heading for a repeat of the market volatility seen in March 2020, when stocks fell by more than 20% over three weeks. L...