Reports of online takeovers of customer’s broker-dealer accounts are growing in number, while some broker-dealers are lagging in their cybersecurity procedures. FINRA just published Regulatory Notice 21-18, “FINRA Shares Practices Firms Use to Protect Customers From...
You would think that if you hire a brokerage firm or broker-dealer to advise you on investments and investment strategies, they would always act in your best interest as the Investor hiring them. However, that is not always the case. Sometimes, brokerage firms and...
