Category: Investing

Margin Accounts – Another Form of Churning

A previous article by Jack Waymire, What are my Costs when Financial Advisors Buy & Sell Securities? discussed how advisory fees impacted activity in a managed account. ...

Avoiding Costly ‘Closet’ Index Funds

Stockbrokers and other financial advisors are quick to promote expensive, actively managed mutual funds and the alleged benefits that such funds can provide over less...

Beware of PIPE Fund Investment Fraud

PIPE stands for ‘private investment in a public entity’ and there are certainly legitimate PIPE financings where large public companies have negotiated large private placements...

How Much Investment Knowledge should My Stock Broker have?

Did you know that a brokerage firm has an ongoing duty to train its stock brokers to understand the products they sell, particularly complex products? FINRA...

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