Getting Justice for Seniors
Every state has passed some form of legislation protecting seniors from financial exploitation in addition to any type of physical abuse or theft of assets. Senior...
Defined Benefit Plans – Know the Risks to Pensioners and Taxpayers
Pension Funds continue to be victimized at an alarming rate. Whether it is by brokerage firms selling them inappropriate products or “consultants” giving them self-serving...
A Brokers Contractual Obligations
Clearly, in a managed account a broker enters into a contractual arrangement with an investor to “handle” or “manage” their money. The agreement spells out...
Investor Bill of Rights 2 and 3
Our last post described the “Investor Bill of Rights” created by the North American Securities Administrators Association (NASAA). We recently posted the first “Right”. ...
DEMAND YOUR “Investor Bill Of Rights”
State securities regulators have generally been more aggressive in protecting investors than FINRA or the SEC. These enforcement tactics by some state agencies have even...
