Tag: broker dealers

Social Media Tips for Brokers

Social media can be a powerful tool for brokers and broker dealers.  The ability to reach out and instantly interact with current or potential customers...

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...

Are FINRA Arbitration Panels Fair?

Let me first set the stage and describe how securities arbitration has evolved. In 1987 the Supreme Court ruled that customary brokerage customer agreements calling...

Is My Broker Related to Bernie Madoff?

While Bernie Madoff’s tentacles did not extend to St. Louis, we did see St. Louis brokers sent to jail for stealing client money.  Madoff’s victims...

Hedge Funds – The Good, The Bad and The Train Wreck Coming

The concept of “hedging”, or protecting investors from volatile and uncertain markets, is not new. In fact, the history of hedging has been traced to...

Distinguishing True Independent Professional Advisors from Phantom Fiduciaries

This is Part 2 of a six part series on choosing a 401k plan advisor. While there are many independent professional advisors to whom a plan...

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