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Who is an Investment Advisor?

Who is an Investment Advisor?

Frequently Asked Questions

According to the Securities and Exchange Commission, an investment advisor is an individual or firm in the business of giving advice about investments in securities to clients and receiving compensation for doing so. The securities could include stocks, bonds and mutual funds. Some investment advisors manage portfolios of securities. Investment advisors are generally paid via a percentage of the value of the assets they manage, an hourly fee, a fixed fee, a commission on the securities they sell or some combination of the above.

Securities Fraud

by Scott Starr, Partner

$10M from 122 elderly West Side victims in reverse mortgage scheme
What are the types of misrepresentation?

by Scott Starr, Partner

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