stockbrokers

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Obama is Only Half Right – $17 Billion is the Tip of the Iceberg for Investors

When Obama recently spoke before the AARP he called for higher standards on stockbrokers who provide investment advice and services for retirement assets. His comments […]

Does Your Financial Advisor Owe You Money? – Standards of Care

Determining whether your financial advisor owes you money is a two step process. The first step is to determine what standard of care your advisor […]

Financial Advisor Compensation Can Wreck Your Retirement

Very few investors are aware of the critical importance of their financial advisor’s method of compensation. They select the financial advisor they like the best […]

Stockbrokers Disclosure Proposed Rule Pulled

FINRA has withdrawn a controversial proposed rule that would have forced stockbrokers to tell their clients why they decided to work at a given brokerage […]

When Objective Investment Advice Isn’t

Your account is a brokerage account and not an advisory account. Our interests may not always be the same as yours. Please ask us questions […]

Wall Street Fights Higher Ethics Standards for Stockbrokers

Prior to 1975 stockbrokers were called Customers’ Men. Their role was to help clients achieve their financial goals. They did this by performing duties that […]