Tag: stockbrokers

10 Tips for Millennials when Selecting Financial Advisors

If you are a millennial you may feel like you have a target on your back. Local financial advisors, stockbrokers, bank representatives, CPA firms, and...

Is Your Financial Advisor for “Real”?

I believe I should start off by educating those who are already using a financial “advisor” (using that term loosely here) and/or considering using a...

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...

Avoiding Costly ‘Closet’ Index Funds

Stockbrokers and other financial advisors are quick to promote expensive, actively managed mutual funds and the alleged benefits that such funds can provide over less...

Weighing In: Securities Arbitration is a Travesty of Justice

Every service agreement of every financial services company limits a damaged investor’s legal recourse to an arbitration process that is administered by FINRA and controlled...

Weighing In: Financial Advisors and Investor Assets – No Possession Allowed!

Investors should pay more attention to who has physical possession of their assets, see Madoff Case Puts Focus on Duties of Custodial Banks.  This is...

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