By Tracy Pride Stoneman

Articles & Publications

"The primary reason I write and publish is to inform and educate others on the subject of the law within my practice areas."

Investor Education

Concentration: Too Much of a Good Thing?

Why over-concentrating your portfolio in a single stock or sector is a red flag for broker misconduct — and what you can do about it.

Investor Education

Cryptocurrencies: Investments or Electronic Currency of the Future?

A look at the risks of cryptocurrency investments and what investors need to know before taking the plunge.

Arbitration

Securities Arbitration Part I: A Primer

An introduction to the FINRA arbitration process — what it is, how it works, and why it matters for investors with claims against their broker.

Arbitration

Securities Arbitration Part II: A Hypothetical Arbitration Case

A walk-through of a hypothetical securities arbitration case from filing to award, illustrating the process investors can expect.

Investor Education

10 Reasons to Hang Up the Phone When a Stockbroker Says…

The warning signs that should make any investor immediately skeptical of what their broker is telling them.

Investor Education

Margin in Your Brokerage Account

Understanding margin accounts, the risks involved, and how brokers sometimes misuse margin to the detriment of their clients.

Investor Education

The New Account Form

Why the new account form is one of the most important documents you will ever sign — and what to watch out for.

Investor Education

Your Brokerage Investment Objectives

How your stated investment objectives can protect you — or be used against you — in a securities arbitration claim.

Investor Education

Do You Need Professional Help?

A practical guide to deciding whether to manage your own investments or hire a professional — and how to protect yourself either way.

Investor Education

Going it on Your Own

The risks and rewards of self-directed investing, and what to do when things go wrong with an online brokerage.

Investor Education

Choosing Professional Help: Conflicts of Interest

How to identify and avoid the conflicts of interest that can cause financial advisors to act in their own interest rather than yours.

Brokerage Firms

Merrill Lynch vs. Prudential

A comparison of two major brokerage firms and the types of misconduct claims that have been brought against each.

Investor Education

Picking the Right Stockbroker

What to look for — and what to look out for — when choosing a stockbroker to manage your investments.

Investor Education

More on Picking the Right Stockbroker

A follow-up guide with additional due diligence steps every investor should take before entrusting their money to a broker.

Broker Misconduct

Who's Minding the Store?

How brokerage firms' supervisory failures create liability — and how investors can use those failures to support their claims.

Broker Misconduct

Board of Directors Beware

The responsibilities of corporate boards when it comes to securities compliance and investor protection.

Investor Education

The Meaning of SIPC

What the Securities Investor Protection Corporation actually covers — and the common misconceptions that leave investors exposed.

Brokerage Firms

Behind the Scenes at Olde

An inside look at the practices of Olde Discount Corporation and what it reveals about the securities industry's culture of misconduct.

Investor Education

You Can't Be Too Trusting About Anything Today

Why blind trust in financial advisors is dangerous — and the steps every investor should take to verify and protect themselves.

Broker Misconduct

The "Just Say No" Tactic

How brokerage firms use delay and stonewalling tactics to discourage investors from pursuing legitimate claims.

Arbitration

Justice Closes its Eyes in the Face of Wrongdoing

A critical look at how the arbitration system sometimes fails investors and what reforms are needed.

Investor Education

Commodities: No Higher Risk on the Market

The extreme risks of commodities trading and why unsuitable recommendations in this area are a common source of investor losses.

Investor Education

Is Option Trading for You?

A realistic assessment of options trading — the risks, the rewards, and when a broker who pushes options may be acting improperly.

Investor Education

Problems with Internet Trading

The unique risks of online brokerage accounts and what recourse investors have when things go wrong.

Investor Education

Due Diligence Research: How to Check Out Your Broker

A step-by-step guide to researching a broker's background, disciplinary history, and qualifications before investing.

Broker Misconduct

Buyer Beware, Says the NASD

What the NASD's (now FINRA's) own warnings reveal about the risks investors face in the securities industry.

Broker Misconduct

Supervision of Third-Party/Power of Attorney Accounts

The special risks and responsibilities that come with third-party and power of attorney brokerage accounts.

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