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Have you been a victim of churning?

Posted by Jennifer P. Farrar | Jan 26, 2020 | 0 Comments

Churning is a manipulative and deceptive practice in violation that violates Section 10(b), Rule 10b-5 thereunder, and FINRA Rules 2020 and 2010. It is fraudulent conduct that occurs when: (i) a registered representative controls trading activity in an account, (ii) the level of activity in the a...

Alphabet Soup – Who Are These People?

Posted by Jennifer P. Farrar | Jan 01, 2020 | 0 Comments

Long names call for shorthand.  Here is a list (by no means exhaustive) of acronyms for investment and finance-related entities, which you might come across in this blog or elsewhere: ACLI – American Council of Life Insurers. ACLI is an association of American life insurance carriers whic...

Discretion – Who Has the Power to Choose?

Posted by Jennifer P. Farrar | Dec 30, 2019 | 0 Comments

Merriam-Webster defines discretion as “individual choice or judgment.”  In the investment arena, discretion similarly refers to the exercise of judgment.  When the customer makes all the trading decisions in the account, then the account is non-discretionary.  In contrast, a discretionary account...

Possible Signs of Mischief

Posted by Jennifer P. Farrar | Dec 29, 2019 | 0 Comments

What are the possible signs of fraud or other misconduct in your account?  Here are some potential red flags: Big drops in the value of your portfolio, particularly when these dips don't follow the market or seem exaggerated in comparison to what the market is doing. Under-performa...

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Thank you for visiting the Farrar Law PLLC site. I intend to provide general information, which should not be construed as legal advice at all. If you are looking for advice on a specific matter, please contact me directly for a free consultation.