Market Insights: Investing

Why You Should ALWAYS Check Out Your Advisor & MORE IMPORTANTLY, The Firm You Work With!

Think Advisor, September 29, 2017

Wells Fargo Consistently ‘Abused’ Customers, House Dems Say

The 38-page House Financial Services staff report cites ‘pattern’ of abusive business practices and ‘disregard’ for customers.  

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ThinkAdvisor.com, September 29, 2017

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"Are Your Retirement Savings at Risk?"

A video from the Department of Labor about protecting your retirement savings:

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"The Suitability Standard and Gordon Gekko’s Red Suspenders"

A must-read from Financial Advisor IQ:

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Top Investment Mistakes

1. Not following an Investment Strategy

2. Letting Emotions ruin your returns

3. Not selling Losing investments hoping they will rebound

4. Listening to your golf buddy Bob for investment tips

5. Listening to your Wall Street firm for investment ideas

6. Not reading the Fine Print before you are Sold by your broker on Free Money Bonuses and 8% returns

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When It Comes To Investing, Investors Are Their Own Worst Enemies

Big Mistakes Every Investor Makes that hurt your Future.

Making just one of the following mistakes will hurt your returns, which in turn will harm your retirement.

Buying and selling: trying to pick tops and bottoms - some call it Market Timing.

When people get nervous about a short-term pull back or negative news, they make bad emotional decisions.  Take Ebola recently.  I received many calls on my radio show from nervous investors who thought that the Walking Dead was going to be a reality show.  Emotions are bad for your wealth!

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What Happens After a Mild Selloff?

On Monday, the S&P 500 closed below its 200-day moving average.  A break below the 200-day moving average is a signal that the market is trending down, and some analysts view it as a signal to sell.  But it might not be a good idea to race for the exit.

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Market Notes for the 3rd Quarter 2014

Short-term Volatility in an Improving US and Emerging Market Economy.

The economy is growing, inflation is under control around the world.

Forecasts for third-quarter GDP are strong at 3.5%, and estimates for earnings growth in the same period are around 8.9% in the US.

The Emerging Markets are growing GDP at 2 - 3 times the US GDP rates.

There is no evidence of irrational exuberance today.

Corporate and economic reports show strength across many sectors.

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New FINRA Proposal Puts Responsibility on Investors

When a broker switches to a new firm, it will be up to clients to find out how big a bonus that broker is getting for making a move, according to a newly revised FINRA proposal.

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"Making Sense of Financial Professional Titles"

Following is an excerpt from an investor alert issued by the North American Securities Administrators Association:

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SEC Approves New Brokerage Industry Rule

The US Securities and Exchange Commission wants to make it a little harder for brokers to remove marks from their public records after consumer disputes.

Last week, the agency approved a new brokerage industry rule that will prohibit settlements between brokerage firms and investors that require the investor to agree to erase complaints from public records.

The SEC is concerned about how frequently FINRA arbitrators grant brokers’ request to erase black marks from consumer complaints, noting that occurs in a “high number of cases”.   

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