{"id":944,"date":"2013-06-18T12:57:52","date_gmt":"2013-06-18T19:57:52","guid":{"rendered":"http:\/\/staging-prblog.paladinregistry.com\/blog\/?p=944"},"modified":"2014-01-21T18:37:29","modified_gmt":"2014-01-22T02:37:29","slug":"demand-your-investor-bill-of-rights","status":"publish","type":"post","link":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/","title":{"rendered":"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d"},"content":{"rendered":"<p style=\"text-align: left;\" align=\"center\"><a href=\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png\"><img loading=\"lazy\" decoding=\"async\" class=\"alignleft size-medium wp-image-948\" title=\"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d\" alt=\"\" src=\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights-300x164.png\" width=\"300\" height=\"164\" srcset=\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights-300x164.png 300w, https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png 303w\" sizes=\"(max-width: 300px) 100vw, 300px\" \/><\/a>State securities regulators have generally been more aggressive in protecting investors than FINRA or the SEC.\u00a0 These enforcement tactics by some state agencies have even caused broker friendly legislators at the federal level to call for the elimination of all state securities regulations.\u00a0 They are not stupid.\u00a0 They know that they can, with the power of the purse, control federal regulators and industry controlled self-regulatory organizations.<\/p>\n<p>State regulators formed a trade association, the North American Securities Administrators Association (NASAA).\u00a0 In 1997 NASAA adopted an \u201cInvestor Bill of Rights\u201d reminding investors of their rights and of the obligations broker dealers have to investors.\u00a0 The Investor Bill of Rights offers advice and describes 10 specific areas in which investors are entitled to protection.\u00a0 The first of the 10 rights is set out below with comments on how it can most effectively be applied to maximize protection to investors:<\/p>\n<p>1.\u00a0\u00a0\u00a0\u00a0\u00a0Ask for, and receive, information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.<!--more--><\/p>\n<p><em>Comment: Some securities firms and many individual brokers are reluctant to provide this information.\u00a0 Investors should demand it.\u00a0 An investor can seek information from FINRA and from state regulatory bodies.\u00a0 Mysteriously, FINRA records are often not current and are notoriously incomplete.\u00a0 For the latest and most thorough information, always contact state regulators.\u00a0 If there is resistance by the broker-dealer to providing any information you want, then you are best advised to move on.\u00a0 <\/em><\/p>\n<p>The additional investor rights will be posted on this space in future articles.<\/p>\n<p><em>To learn more about Dale Ledbetter, visit his website at <a href=\"http:\/\/www.dlsecuritieslaw.com\" target=\"_blank\">www.dlsecuritieslaw.com<\/a>. <\/em><\/p>\n","protected":false},"excerpt":{"rendered":"<p>State securities regulators have generally been more aggressive in protecting investors than FINRA or the SEC.\u00a0 These enforcement tactics by some state agencies have even caused broker friendly legislators at the federal level to call for the elimination of all state securities regulations.\u00a0 They are not stupid.\u00a0 They know that they can, with the power of the purse, control federal regulators and industry controlled self-regulatory organizations. State regulators formed a<\/p>\n","protected":false},"author":14,"featured_media":948,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[117],"tags":[],"class_list":["post-944","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-retirement"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.3 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>DEMAND YOUR \u201cInvestor Bill Of Rights\u201d<\/title>\n<meta name=\"description\" content=\"The Investor Bill of Rights reminds investors of their rights and of the obligations broker dealers have to investors.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d\" \/>\n<meta property=\"og:description\" content=\"The Investor Bill of Rights reminds investors of their rights and of the obligations broker dealers have to investors.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/\" \/>\n<meta property=\"og:site_name\" content=\"Paladin Registry Blog\" \/>\n<meta property=\"article:author\" content=\"https:\/\/www.facebook.com\/HowWallStreetRipsYouOff\" \/>\n<meta property=\"article:published_time\" content=\"2013-06-18T19:57:52+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2014-01-22T02:37:29+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png\" \/>\n\t<meta property=\"og:image:width\" content=\"303\" \/>\n\t<meta property=\"og:image:height\" content=\"166\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"author\" content=\"Dale Ledbetter\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:creator\" content=\"@LedbetterDale\" \/>\n<meta name=\"twitter:site\" content=\"@PaladinRegistry\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Dale Ledbetter\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/\",\"name\":\"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d\",\"isPartOf\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#primaryimage\"},\"image\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png\",\"datePublished\":\"2013-06-18T19:57:52+00:00\",\"dateModified\":\"2014-01-22T02:37:29+00:00\",\"author\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/fa00c414bea5311bac6af21b5412ef98\"},\"description\":\"The Investor Bill of Rights reminds investors of their rights and of the obligations broker dealers have to investors.\",\"breadcrumb\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#primaryimage\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png\",\"contentUrl\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png\",\"width\":\"303\",\"height\":\"166\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\/\/www.paladinregistry.com\/blog\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Retirement\",\"item\":\"https:\/\/www.paladinregistry.com\/blog\/category\/retirement\/\"},{\"@type\":\"ListItem\",\"position\":3,\"name\":\"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#website\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/\",\"name\":\"Paladin Registry Blog\",\"description\":\"Helping You Make Better Financial Decisions\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\/\/www.paladinregistry.com\/blog\/?s={search_term_string}\"},\"query-input\":\"required name=search_term_string\"}],\"inLanguage\":\"en-US\"},{\"@type\":\"Person\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/fa00c414bea5311bac6af21b5412ef98\",\"name\":\"Dale Ledbetter\",\"image\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/image\/\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/10\/2013-dale-ledbetter-e1421858762590-96x96.jpg\",\"contentUrl\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/10\/2013-dale-ledbetter-e1421858762590-96x96.jpg\",\"caption\":\"Dale Ledbetter\"},\"description\":\"Dale Ledbetter a partner and founder of Ledbetter &amp; Associates P.A., has been folded into Kopelowitz Ostrow, a diversified litigation firm located in Fort Lauderdale, Florida. Dale spent over 30 years in the securities industry, serving as EVP\/Branch Manager of Meridian Bancorp Securities and as COO of Countrywide Securities in Los Angeles.\",\"sameAs\":[\"http:\/\/www.kolawyers.com\",\"https:\/\/www.facebook.com\/HowWallStreetRipsYouOff\",\"http:\/\/www.linkedin.com\/in\/daleledbetter\",\"https:\/\/x.com\/LedbetterDale\"],\"url\":\"https:\/\/www.paladinregistry.com\/blog\/author\/dale-ledbetter\/\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d","description":"The Investor Bill of Rights reminds investors of their rights and of the obligations broker dealers have to investors.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/","og_locale":"en_US","og_type":"article","og_title":"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d","og_description":"The Investor Bill of Rights reminds investors of their rights and of the obligations broker dealers have to investors.","og_url":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/","og_site_name":"Paladin Registry Blog","article_author":"https:\/\/www.facebook.com\/HowWallStreetRipsYouOff","article_published_time":"2013-06-18T19:57:52+00:00","article_modified_time":"2014-01-22T02:37:29+00:00","og_image":[{"width":303,"height":166,"url":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png","type":"image\/png"}],"author":"Dale Ledbetter","twitter_card":"summary_large_image","twitter_creator":"@LedbetterDale","twitter_site":"@PaladinRegistry","twitter_misc":{"Written by":"Dale Ledbetter","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/","url":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/","name":"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d","isPartOf":{"@id":"https:\/\/www.paladinregistry.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#primaryimage"},"image":{"@id":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#primaryimage"},"thumbnailUrl":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png","datePublished":"2013-06-18T19:57:52+00:00","dateModified":"2014-01-22T02:37:29+00:00","author":{"@id":"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/fa00c414bea5311bac6af21b5412ef98"},"description":"The Investor Bill of Rights reminds investors of their rights and of the obligations broker dealers have to investors.","breadcrumb":{"@id":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#primaryimage","url":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png","contentUrl":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/06\/Investor-bill-of-rights.png","width":"303","height":"166"},{"@type":"BreadcrumbList","@id":"https:\/\/www.paladinregistry.com\/blog\/retirement\/demand-your-investor-bill-of-rights\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.paladinregistry.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Retirement","item":"https:\/\/www.paladinregistry.com\/blog\/category\/retirement\/"},{"@type":"ListItem","position":3,"name":"DEMAND YOUR \u201cInvestor Bill Of Rights\u201d"}]},{"@type":"WebSite","@id":"https:\/\/www.paladinregistry.com\/blog\/#website","url":"https:\/\/www.paladinregistry.com\/blog\/","name":"Paladin Registry Blog","description":"Helping You Make Better Financial Decisions","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.paladinregistry.com\/blog\/?s={search_term_string}"},"query-input":"required name=search_term_string"}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/fa00c414bea5311bac6af21b5412ef98","name":"Dale Ledbetter","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/10\/2013-dale-ledbetter-e1421858762590-96x96.jpg","contentUrl":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/10\/2013-dale-ledbetter-e1421858762590-96x96.jpg","caption":"Dale Ledbetter"},"description":"Dale Ledbetter a partner and founder of Ledbetter &amp; Associates P.A., has been folded into Kopelowitz Ostrow, a diversified litigation firm located in Fort Lauderdale, Florida. Dale spent over 30 years in the securities industry, serving as EVP\/Branch Manager of Meridian Bancorp Securities and as COO of Countrywide Securities in Los Angeles.","sameAs":["http:\/\/www.kolawyers.com","https:\/\/www.facebook.com\/HowWallStreetRipsYouOff","http:\/\/www.linkedin.com\/in\/daleledbetter","https:\/\/x.com\/LedbetterDale"],"url":"https:\/\/www.paladinregistry.com\/blog\/author\/dale-ledbetter\/"}]}},"_links":{"self":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts\/944"}],"collection":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/users\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/comments?post=944"}],"version-history":[{"count":9,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts\/944\/revisions"}],"predecessor-version":[{"id":2883,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts\/944\/revisions\/2883"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/media\/948"}],"wp:attachment":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/media?parent=944"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/categories?post=944"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/tags?post=944"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}