A Great Defense is Often the Best Offense
As we approach the final month of 2013, we can look back at the incredible results produced by the U.S. equity markets. If you were...
5 Reasons Why You Should Be Wary of Variable Annuities
A variable annuity is an insurance product sold for investment purposes. The insurance element is the death benefit which is payable only if you die...
Investor Protection from Unauthorized Withdrawals from Accounts
It’s a Brokerage Firm’s Duty to Protect Client Accounts from Unauthorized Withdrawals! What are Unauthorized Withdrawals? FINRA has warned member firms to protect investors against...
Why are ETFs dangerous?
Exchange-traded funds, otherwise known as ETFs have become investors’ new best friends in the investment world. Investors have spent over $1 trillion into these investment...
What is Unauthorized Discretionary Securities Trading?
Unauthorized trading occurs when a broker buys, sells, or exchanges securities without proper authority from the investor. FINRA Rules 2510(b) and 2020 and NYSE Rule...
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...
Hedge Funds – The Good, The Bad and The Train Wreck Coming
The concept of “hedging”, or protecting investors from volatile and uncertain markets, is not new. In fact, the history of hedging has been traced to...
Benefits of Royalty Trusts
Royalty trusts, like MLPs, generally invest in energy sector assets. Unlike the steady cash flows at MLPs, royalty trusts generate income from the production of...
Caveat Emptor: There’s more!
This is Part 5 of a six part series on choosing a 401k plan advisor. While many nationally recognized insurance and brokerage firms advertise that 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...
