Category: protecting investors

The Dangers of Trusting Business Brokers When Loaning or Investing

Oct 17, 2018 / protecting investors

Business brokers are traditionally considered to be professionals who are in the business of finding a buyer for someone who wants to sell a successful business in lieu of a succession plan. Recently, however, we have received several calls from people who have simply invested in or loaned money to a business that was recommended by a questionable “Business Broker.” From our perspective, this is generally a bad idea for […]

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Ongoing Concerns For Investors In Structured Products Backed By Deutsche Bank

Sep 20, 2018 / protecting investors

We raised concerns in the spring of last year and again in the summer of this year regarding structured notes backed by Deutsche Bank. These concerns are now heightened in light of the fact that institutional lenders are factoring these concerns into how they deal with Deutsche Bank. As recently reported by the Financial Times, Deutsche Bank’s credit rating has been downgraded after three consecutive years of unprofitability. This is […]

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CFP® Board Moves Towards a Unified Fiduciary Duty Standard, as other Financial Institutions and Regulators Sadly Continue to Fight the Move

Aug 14, 2018 / protecting investors

As one of the more reputable organizations in the industry, the Certified Financial Planners Board (CFP®) appears to be on the forefront of the efforts to protect investors from financial wrongdoing. This time, the CFP® Board announced new standards that would require financial professionals— including brokers — to act in the best interests of investors when providing any financial advice. The previous rule applied a fiduciary standard to CFP®s only […]

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