Category: Wall Street

Why do Stock Brokers Lie to Investors?

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...

Could Vladimir Putin Run America?

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...

High Risk Stocks in Your Account? Your Stock Broker could be Liable

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’s Proposed New Rule to Help Abused Investors – NOT!

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...

The 4 Biggest Myths about Stock Brokers

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...

Securities Regulators Move to Close the Insurance Broker Loophole

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...

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