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A Fiduciary Standard is not the Solution (Infographic) – updated Nov 2014

There has been an inordinate amount of discussion about applying the fiduciary standard for financial advisors to registered representatives who sell investment products for commission. […]

Update to Accredited Investor Definition Coming

The Securities and Exchange Commission recently met to discuss and hash out whether it should revise the standards that define an “accredited investor”.  Broker dealers […]

5 Numbers for Investor Protection

Every investor should be proactive in protecting their financial security. Many would argue that organizations such as the Securities and Exchange Commission (SEC) and the […]

What to Ask When a Stock Broker Changes Firms

When a stock broker or financial advisor moves from one firm to another, their clients will usually follow them.  However, the clients will often have […]

Has Your Broker Ever Suggested Index Funds to You? Updated Sept 2014

If you are in the vast majority the answer is “No.” The simple reason for that lack of action is simple. Index funds do not […]

By |September 29th, 2014|Categories: Products|Tags: , , , , , , |5 Comments

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