Category: News

Our Take on Federal Fiduciary Rule

Jan 10, 2018 / News

Chris Vernon discusses the Fiduciary Rule that has been in and out of the news lately. It is important that investment professionals have a duty to act in the best interest of their clients.

Learn More

FINRA Takes Disciplinary Action Against Firm for 16th Time in 20 Years

Jan 9, 2018 / News

According to a recent Investment News article, the primary regulator of brokerage firms (FINRA) just took disciplinary action against Meyers Associates – now known as Windsor Street Capital – for the 16th time in less than two decades. The most recent fine was $700,000, but what we find significant is the fact that the regulator has effectively allowed this firm to continue to deal with the investing public despite its […]

Learn More
Check Your Broker