Tag: securities

The Track Record of a Financial Advisor: Is it Real? Is it Fake?

When investors select a financial advisor, one of their most frequent questions is, “What performance can I expect if I select you?” Very few financial...

What is FINRA and What is the Role of FINRA (Financial Industry Regulatory Authority)

If you are someone who scrutinizes their account statements or your financial documents, you might have come across the word ‘FINRA’ – probably in a...

The History of Wall Street – once a Market for Slaves!

In the early 1600’s Wall Street were two walls that protected Dutch residents from marauding Indians. It seems the Dutch governor (Kieft) had approved the...

Does the SEC’s “Revolving Door” Impact Investor Protection?

Securities law is a very specialized type of law. As a result, regulatory bodies such as the Securities and Exchange Commission (SEC) recruit securities lawyers...

Financial Advisors Claim They Can Beat the Market

80% of investors, who use the services of financial advisors, expect to beat the performance of the market. They pay higher fees and they take...

Use a Personal Balance Sheet to Determine Your Net Worth

When I was a senior in college, I was the teacher’s assistant for Profiles in American Enterprise.  The course brought in different CEOs to speak to...

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