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Ary Rosenbaum - The Rosenbaum Law Firm P.C.

SDBA Account Balances are down

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Schwab’s Q3 2023 SDBA Indicators Report, a report on self directed brokerage accounts (SDBAs) shows that average account balances finished at $287,769 for the third quarter of 2023, with an increase of 5.3% year-over-year but...more

Williams Mullen

PODCAST: Williams Mullen's Benefits Companion - Are Brokerage Windows Right for Your Retirement Plan?

Williams Mullen on

On this episode of Williams Mullen's Benefits Companion, host Brydon DeWitt is joined by Ken Barnes, Financial Advisor with SageView Advisory Group, for a discussion about using self-directed brokerage windows in retirement...more

Lowenstein Sandler LLP

Let the Game(Stop) Begin—Unless You Are A Retail Investor

Lowenstein Sandler LLP on

Gone are the days when you had to walk into a physical branch to open a brokerage account. Each trade used to cost money, and account minimums were high. Not anymore. Now any American with internet access and a bank account...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

r/wallstreetbets is another reason why I hate self directed brokerage accounts

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

What the Reddit group wallstreetbets did with Gamestop in a short squeeze was something quite amazing. I joined in for a couple of days with the purchase of AMC stock that I quickly dumped after only making a couple of...more

UB Greensfelder LLP

All-Public Arbitration Panels Are Paying Out Money At An Unprecedented Rate...Just As PIABA Intended

UB Greensfelder LLP on

I read an article this week in Investment News with the following headline: “Brokerage Customers Winning More FINRA Arbitration Cases.” As a guy who defends customer cases, I was naturally intriguied by this. According to the...more

Robins Kaplan LLP

Top FINRA Priorities for 2017

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On January 4, FINRA released its Annual Regulatory and Examination Priorities Letter, which outlines the areas it plans to review over the coming year.  FINRA President and CEO, Robert Cook, says that attention to these core...more

Carlton Fields

Eighth Circuit Holds Nj Law Tolls Arbitration Against Broker

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The Eighth Circuit Court of Appeals recently held that New Jersey state law fraud claims against Morgan Keegan, the brokerage firm now part of Raymond James & Associates, were tolled by the plaintiffs’ efforts to collect an...more

Proskauer - Corporate Defense and Disputes

The Battle Lines Continue to Form Over the DOL’s Fiduciary Proposal

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Earlier this month, the Securities Industry and Financial Markets Association (“SIFMA”) released its “Proposed Best Interests of the Customer Standard for Broker-Dealers” – an alternative to the U.S. Department of Labor’s...more

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