Our Cowardly and Impersonal Financial Services Industry

FA Magazine published an article by Robert Isbitts on August 20, 2014 entitled: When History and Asset Allocation Collide. This article caused a collision between […]

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 […]

Can Bank Loan ETFs Pose a Systemic Risk to the Market?

A recent statement by BlackRock Inc (BlackRock) Chief Executive Larry Fink concerning leveraged exchange traded funds (“Leveraged ETFs”) has provoked a reaction within the industry.  […]

Financial Services – Is there Investor Protection?

The media says financial services is one of the most regulated industries in America. If that is true, how do you explain headline after headline […]

Navigating Bad Advice from Your Financial Advisor

It is absolutely, positively nuts, but investors let their financial advisor dominate the relationship and decisions that will determine when they retire, their standard of […]