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New Publication Defines the “Fiduciary Ethos” For Financial Advisors Acting as Fiduciaries
Posted on Wednesday, October 5, 2011 at 12:09 PM

“Fiduciary Ethos; Living in a Fiduciary World” is superb guidance for any financial advisor serving as or planning to serve as a fiduciary to clients. 

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Recent FINRA Disciplinary Findings Against UBS Financial Services Demonstrate How Investors Were Misled In Purchasing Lehman-Issued 100% Principal-Protection Notes
Posted on Monday, September 19, 2011 at 12:08 PM

The Financial Industry Regulatory Authority (FINRA) recently fined UBS Financial Services, Inc. $2.5 million, and required the firm to pay $8.25 million in restitution to customers. 

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New Publication Defines the “Fiduciary Ethos” For Financial Advisors Acting as Fiduciaries
Posted on Monday, September 19, 2011 at 12:07 PM

“Fiduciary Ethos; Living in a Fiduciary World” is superb guidance for any financial advisor serving as or planning to serve as a fiduciary to clients.  Whether the advisor is a financial planner, wealth manager or retirement advisor, or whether the clients are retail, institutional, individuals, private trusts, foundations, endowments, or retirement plans, the publication written by Donald P. Trone is a must-read. 

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Securities Regulator Warns Against Chasing Higher Yield Through Risky Investments
Posted on Friday, September 9, 2011 at 12:06 PM

FINRA (the Financial Industry Regulatory Authority) is concerned that the current low yield on traditional safe investments is causing investors to reach for higher yield, unfortunately through riskier investments.  As a result, FINRA has issued an alert entitled, “The Grass Isn’t Always Greener – Chasing Return in a Challenging Investment Environment.”

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SEC and FINRA Alert Investors to Risks and Unsuitability of Structured Securities Products
Posted on Wednesday, August 17, 2011 at 12:05 PM

Securities regulators SEC (the Securities and Exchange Commission) and FINRA (the Financial Industry Regulatory Authority) have issued warnings to investors and to financial services firms that sales of structured securities products have hurt investors. 

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Beware of “Reverse Mergers”
Posted on Wednesday, July 6, 2011 at 12:04 PM

The SEC (Securities and Exchange Commission) recently issued a warning to investors considering an investment in what are known as “reverse mergers” or “reverse takeovers (RTOs).”  Let’s examine why the SEC is concerned.

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Selling Bad Apples; Securities Regulator Alleges That Apple REIT 10 is Rotten
Posted on Thursday, June 2, 2011 at 12:03 PM

Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10.

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Non-Traded Real Estate Investment Trusts (REITs); Nothing But Fool’s Gold
Posted on Friday, May 6, 2011 at 12:02 PM

Investors need to say, “No thanks” when presented with an opportunity to buy REITs that are not publicly traded.

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Securities Arbitration Primer: What Investors and Attorneys Need To Know
Posted on Monday, May 2, 2011 at 12:02 PM

The events of the past few years, including the Great Recession of 2008, have transformed the American financial landscape from Wall Street to Main Street. 

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Financial Adviser Continuing Education Program Provides Helpful Roadmap of Significant Regulatory Developments Affecting Investors and Their Advisers
Posted on Tuesday, April 26, 2011 at 12:00 PM

Twice each year the Securities Industry Regulatory Council on Continuing Education publishes guidance for financial services firms to assist them in formulating their continuing education programs. 

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