Category: Wall Street

5 Reasons Why a New Financial Advisor is a Hidden Risk – updated September 2014

If you do not ask a prospective financial advisor any other questions be sure to ask for his years of financial advisory experience. Your goal...

A New Player in the Financial Fiduciary Wars – Updated September 2014

A financial fiduciary are financial planners, investment advisors, and money managers who hold positions of substantial trust when they invest other peoples’ money. Investors are counting...

Wall Street’s ‘Increased Costs’ Deception

The Securities and Exchange Commission (SEC) recently announced that it had received very little response to its request for information on the potential financial impact...

Does FINRA Really Protect Investors from Bad Financial Advisors?

FINRA is the Financial Industry Regulatory Authority. It produces the rules that govern more than 600,000 stock brokers and financial advisors and the 5,000 broker/dealers...

The History of Wall Street – once a Market for Slaves!

In the early 1600’s Wall Street were two walls that protected Dutch residents from marauding Indians. It seems the Dutch governor (Kieft) had approved the...

Post-JP Morgan – Still Believe a Universal Fiduciary Standard Not Needed?

A recent study provided a list of various things that one could buy with the $33 billion dollars in fines that have been assessed against...

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