Tag: stock brokers

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...

Does FINRA Really Protect Investors from Bad Financial Advisors?

FINRA is the Financial Industry Regulatory Authority. It produces the rules that govern more than 600,000 stock brokers and financial advisors and the 5,000 broker/dealers...

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...

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...

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