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Representing Individual, High Net Worth & Institutional Investors

Offices in Indiana and New York City


Home > Protect Yourself

Protect Yourself

No one is born knowing how to spot a bad broker or bad investment advice. But all investors can learn to protect themselves. We encourage you to study up on securities-industry rules and protocols before signing on with any investment advisor. To make learning less cumbersome, we summarize some key investor protection guidelines here, in plain English. And we provide a directory of reliable sources, where you’ll find in-depth coverage of these topics.

Topics To Explore

Independent journalists have prepared these reports for investors and their families. Click on a title to read the full article.

How to Make Sense of Acronyms for Financial Advisors

CFA, CFP, ChFC…How Do Consumers Use Acronyms to Choose a Financial Advisor? more

Is my money being handled badly?

Red flags that say your broker or advisor may be negligent. more

by Scott Woolgar

Can I try to get my money back?

What to do if you suspect your money has been mismanaged. more

by Kenneth Honeywell

How to tell a bad broker from a good one.

Know what to ask when hiring an investment advisor. more

by Deborah Duppstadt

How to interview financial advisors.

Looking for someone to handle your investments? Ask ten questions, three times. more

by Scott Woolgar


Links and Resources


Where to find…

General investment education

Smart Investing Forum

Your rights as an investor

NASAA – Investor Bill of Rights

News and tips from securities market watchdogs – Investor Resources

Senior investor resource center

NASAA – Senior Investor Resource Center

Broker background check

Broker Background Check

Securities class action clearing house

Stanford Securities Class Action Clearinghouse

Government Resources, Stock Exchanges and Regulators

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