Category: Resources

When Investments Go Wrong

In this installment of our ongoing weekly video series Chris Vernon speaks about, When Investments Go Wrong. When presented with a new and ‘trendy’ investment opportunity and are promised a high return, in addition to due diligence, keep into consideration on how you got to this investment opportunity in the first place. If it was recommended…were they paid for this recommendation? Find out more here:  

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Our Concerns Regarding the Sale of Insurance as an Investment

May 24, 2017 / Resources , Tags: ,

We believe a recent case before the National Adjudicatory Council (NAC) is a good example of what concerns us about the sale of insurance as an investment or a surrogate for an investment. The case involves a North Carolina investment professional by the name of Cecil Ernest Nivens in Gastonia (Charlotte area), North Carolina.  Nivens was registered to sell securities through NY LIFE SECURITIES LLC (CRD#:5167) until 2014. Nivens regulatory […]

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