Weighing In: Financial Disclosure Statements Needed for Investors
Financial advisors change firms for big money based on the amounts and types (fee, commission) of revenue that they produce for their firms. The higher...
Top 10 Reasons Why Financial Advisor Documentation is Critical!
Who wins when your primary interaction with a financial advisor is verbal? It is certainly not you, if you are an investor who buys financial...
5 Ways Your Financial Advisor Selection Process Creates Hidden Risks!
Most investors do not have formal processes that they use to select financial advisors. They usually interview a few advisors and select the ones they...
What do A-Rod and Wall Street Executives have in Common?
Major league baseball, Wall Street, and companies don’t cheat. Baseball players and company executives cheat. They are the decision-makers. Agencies provide names if the cheater...
Weighing In: There Will Be More Detroits!
50 years ago I was awarded a scholarship to pursue a Master’s Degree in Public Administration. Part of the program required an internship at a...
Weighing In: Friendly Financial Advisors are Dangerous!
This investor and her friends and neighbors were victimized by a friendly financial advisor who was also a criminal. See For Retirees, Investment Fraud Can...
The 5 Biggest Mistakes Investors Make When They Select A Financial Advisor
Just about every investor in America has terminated relationships with one or more financial advisors. Termination is their way of acknowledging they selected the wrong...
How Can You Avoid Bad Financial Advisors?
Fred and Alice Smith are seeking their first financial advisor. They met an advisor at their bank, their insurance agent sells investment products, and they...
Weighing In: Financial Advisors and Investor Assets – No Possession Allowed!
Investors should pay more attention to who has physical possession of their assets, see Madoff Case Puts Focus on Duties of Custodial Banks. This is...
Weighing In: Don’t Believe the SEC’s Get Tough Policy
Mary Jo White, the SEC Chair said she will push more violators to trial and reduce the number of cases that are settled with defendants...
