Are You The Victim of Overconcentration by Your Broker? Shepherd Smith Edwards and Kantas Overconcentration Attorneys Want To Talk To You As an investor, you are always taking on a certain degree of risk. What you invest in is as important as whether or not your portfolio is properly diversified. This…
Did You Suffer Portfolio Losses Because Of A Failure To Diversify? Our Skilled Overconcentration Attorneys Help Investors Pursue Financial Recovery Financial advisors should know the importance of properly allocating an investor’s funds among different kinds of financial products, asset classes, or market sectors. Seeing as all investments come with some…
RBC Capital Markets Settlement With FINRA Includes a Fine and Restitution RBC Capital Markets has reached an agreement with FINRA in which the broker-dealer will pay $1M to resolve allegations of overconcentration in customers’ accounts involving high-yield bonds. Without denying or admitting to the self-regulatory organization’s (SRO’s) findings, RBC consented…