investments

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Charles Schwab – The Robo-Broker

Charles Schwab is about to roll out a new service, the robo-broker,  they hope will be a small step towards the future of financial advising.  The […]

A Penny for Your Penny Stocks

The Financial Industry Regulatory Authority (FINRA) recently fined a Minneapolis broker-dealer $1 million for not properly supervising its large penny stock business. The action charges that […]

By |September 25th, 2014|Categories: Scams|Tags: , , , , , , , , |0 Comments

Investor Credit Where Credit is Due

The SEC is currently examining potential changes to its definition of “accredited investor.” Section 413(b)(2)(A) of the Dodd-Frank Act of 2010 states that the SEC […]

Is Your Investment Loss Claim Eligible for Arbitration?

FINRA arbitration provides an efficient and cost-effective way for investors to resolve their investment loss claims. Discovery is streamlined, and dispositive motions such as motions […]

Bad Investments – Running Out of Time to Recover Losses

The stock market has a long history of volatility that can send wild speculators to yacht dealerships and conservative retirees back to the workforce. The […]

Come Selling Away, Come Selling Away with Me

Selling away occurs when a broker invests a client’s money without going through the brokerage firm that he is employed with. It is one of […]