stock brokers

/Tag:stock brokers

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 […]

3 Stock Brokers Accused of Securities Misconduct by Customers

Rockwell Global Capital LLC (Rockwell)  stock brokers Robert E. Lee Jr., Douglas Guarino, and Lawrence Lee have been the subject of at least 29 combined […]

What is the Problem with Wall Street?

Why do multi-millionaire executives, who run big Wall Street companies, continue to rip-off investors? I think I know the answer to this one. You can […]

Should You Trust Wall Street Stock Brokers?

Do you trust car salesmen and life insurance agents? 91% of Americans say they do not. They use aggressive sales tactics to sell their products. […]

Does the Conflict-Free Financial Adviser Really Exist?

I read a great article this weekend that appeared in the Your Money section of The New York Times. The article was titled “The Perils of Finding a Conflict-Free Financial Adviser” and was written by Tara Siegel Bernard. It is pretty obvious, by the content of the article, that Bernard knows advisers and the tricks of the trade.

Her article starts by describing how difficult it is to identify advisers who are required to put investor interests ahead of their own. They are out there, but they are hard to find. These advisers are registered as Investment Advisor Representatives (IARs), which make them financial fiduciaries who are held to the highest ethical standards in the financial service industry. Perhaps one out of five advisers are IARs. […]