Thomas Law Group P.C.

02/11/2022

Great article addressing the issue of reactionary trading.
"While you feel it in your stomach, it starts in your head — and it’s wise to prime your brain with guidelines."
💰🖖

Stocks are swinging all over the place. It’s a good time to take your hands off the wheel — here’s how to let go.

11/04/2021

Investors beware: Brokers can make a lot more off customers’ options trades than stock trades
"Critics say payment for order flow has reshaped brokers’ business models to make them intent on juicing more trading activity from customers, sometimes through gamelike smartphone apps. Some warn that larger order-flow payments from options activity can effectively push inexperienced customers into risky trades they don’t understand, exposing them to large potential losses."

Brokerage firms can profit more from options than from stocks, thanks to surging investor interest and a practice now under scrutiny called payment for order flow.

10/26/2021

Did you invest money with Morgan Stanley's advisor Henry Chia-How Chang? Recover your funds now! Call 800-797-9888 to find out how we can restore your financial peace of mind.
https://brokercheck.finra.org/individual/summary/4049732

Thomas Law Group specializes in all stockbroker and investment disputes.

02/22/2021

Call us at (760) 720-9600 or email [email protected] if you wish to schedule an in-person appointment at our main office: 701 Palomar Airport Road, Carlsbad, California 92011

12/27/2019

Merrill Lynch, Morgan Stanley, LPL, Citigroup and J.P. Morgan Securities broke FINRA's "Know Your Customer" Rule and failed to adequately supervise the accounts. Firms will pay $1.4m collectively for supervisory lapses

Supervisory failures at LPL Financial, J.P. Morgan Securities, Morgan Stanley, Merrill Lynch and Citigroup prevented assets from moving to beneficiaries on time.

12/21/2019

fined $1.25 million by

https://www.investmentnews.com/article/20191219/FREE/191219919/robinhood-fined-1-25-million-by-finra via

Regulator said trading app's order flow procedures failed to guarantee clients received best prices.

11/13/2019

Shout out to for their efforts in keeping and of the markets!

Press Release SEC Wins Jury Trial in Layering, Manipulative Trading Case FOR IMMEDIATE RELEASE 2019-236 Washington D.C., Nov. 12, 2019 — Today, jurors in New York federal court returned a verdict in the Securities and Exchange Commission's favor against a trading firm headquartered in Kiev, Ukrain...

09/28/2019

Check out 's Meter to help you determine if you are vulnerable to
https://tools.finra.org/risk_meter/

07/26/2019

Check out this Fund Analyzer by which analyzes and compares cost of owning funds https://tools.finra.org/fund_analyzer/?rr=1

07/12/2019

from FINRA's website: take a . :
"In , 31% of individuals can answer four or five questions on a basic five-question financial literacy quiz correctly. 🤔 How well will you do on this quiz?

Take our financial literacy quiz and see how your financial knowledge compares with NFCS survey results from individual states and the nation.

06/10/2019

We for what's right! Another for TLG 💪🇺🇸
" Reverse Dismissal of Ex-Merrill Employee’s "
https://advisorhub.com/arbitrators-reverse-dismissal-of-ex-merrill-employes-stock-decline-case/ …

After reviewing a decision issued last week, the panel found that their decision had been made in error and ordered the case to be re-opened.

04/15/2019

TLG does not endorse any CFPs in particular but this Kiplinger article is quite informative and worth reading:
"How to Measure a Financial Adviser's "

https://www.kiplinger.com/article/investing/T023-C032-S014-how-to-measure-a-financial-adviser-s-credibility.html

Four easy ways to check the pedigree of a financial professional with whom you are considering entrusting your retirement.