Posts in December, 2016

Dec 28 Stop Identity Theft

The Financial Industry Regulatory Authority (FINRA) and the Securities Industry Financial Markets Association (SIFMA) have ...

Dec 28 Questions to Ask When Interviewing a Trust Company

Selecting a trusted company is an important personal decision. Trust companies should combine conscientious client service with ...

Dec 28 Common Investment Abuses

Some common types of investment abuse and broker misconduct include: Fraud – Misrepresenting or omitting important information, ...

Dec 28 Know Your Investment Professional

Investment professionals are very creative in marketing themselves to new customers. Some offer free seminars coupled with lunch ...

Dec 28 What to Expect From Arbitration

So you have identified a problem with a security you purchased or investment advice you received and you are considering retaining ...

Dec 27 Considerations for Investors in Platinum Partners

With the Securities and Exchange Commission (“SEC”) and the US Attorney’s formal charges now filed for conspiracy and securities ...