Tag: broker-dealer

What to Look for When Researching a Financial Advisor

Just as you would do before hiring a heart surgeon or anyone who provides a critical service, conducting proper due diligence is a must before...

7 Things to Check When Choosing a Financial Advisor

Most people, rightly, put lots of trust in their financial advisor. Unfortunately, there are some unscrupulous advisors out there who exaggerate their credentials or, worse,...

Deferred Compensation May be Protected by ERISA

Brokers should be aware of the implications of a recent court decision and take note that they may be entitled to the money in their...

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...

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...

Select an Independent Financial Advisor to Invest Your Assets

The word “independent” has a lot of positive connotations, but it can also be a deceptive sales pitch by financial advisors who sell retirement products...

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