Tag: SEC

How Good is a Financial Advisor Directory?

There is a proliferation of financial advisor directories on several websites. Is a Financial Advisor Directory a reliable way to select higher quality financial advisors...

A Registered Investment Advisor is Your Key to a Secure Retirement

Did you know there are two types of financial service companies? One is paid a commission to sell you investment products aka Broker/Dealer. The other...

Financial Advisor Reviews – 5 Paladin Tips

The Securities and Exchange Commission (SEC) has recently ruled financial advisors can begin using reviews on social network and third party websites to help them...

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...

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...

Does the SEC’s “Revolving Door” Impact Investor Protection?

Securities law is a very specialized type of law. As a result, regulatory bodies such as the Securities and Exchange Commission (SEC) recruit securities lawyers...

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