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June 2012 Archives

FINRA Warns Investors of Nutraceutical Stock Scams

The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Nutraceutical Stock Scams-Don't Supplement Your Portfolio With These Companies to warn investors about stock scams related to companies selling everything from fortified foods and energy drinks to "natural" medicines. Like many investment scams, pitches for nutraceutical stocks may arrive in a variety of ways-from cold calls to email, tweets, blogs or message board posts. READ MORE...

What Makes a Case Eligible for FINRA Arbitration or Mediation.

Disputes with Investors require that the case involve an investor and an individual or entity registered with FINRA. Examples include cases between investors and brokers, cases between investors and brokerage firms and between investors, brokers and broker firms. Additionally, the claim must be filed within six (6) years from the time the disputed event(s) occurred.

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