Stock brokers have licenses that limit them to selling investment products such as mutual funds and securities. The licenses do not permit them to provide […]
The Russians elected an ex-KGB thug to run their country. He is currently exploiting the turmoil in Ukraine to take over Crimea. Would we elect […]
Did you know that a claim of Unsuitability could be filed if your stock broker over-concentrates high-risk and speculative securities in your account. This broker […]
FINRA has proposed a new rule change that would allow arbitrators to direct a case to their enforcement division in the middle of a hearing rather […]
Myth #1: Brokers are trained in financial planning.
Becoming a licensed stock broker requires passing a standardized examination (called the “Series 7″ after the type of […]
Securities regulators are finally taking notice of a loop hole in the securities laws that allow securities brokers who have lost their licenses to keep […]