Market Insights: Investing

Wells Fargo Fined $1 Billion Over Mistreatment of Consumers

  • Fed cited a pattern of abuses and lapses
  • Firm tries to resolve a year & a half of scandals across its operations
  • Wells Fargo still faces scrutiny with the DOJ & SEC examining the wealth management unit
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SEC’s Proposal to Protect Investors Isn’t All That Helpful

  • SEC passed a proposal that would regulate the way broker-dealers provide financial advice

  • Critics believe that the proposal is a step in the right direction, but the agency has a long way to go before any investors are truly safe from conflicts

  • Anything short of the fiduciary standard is an insult to American workers and families” SEC Commissioner, Kara Stein

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Merrill Lynch Slammed With Huge Fines!

Merrill Lynch to Pay $415 Million!

Misusing Customer Cash and Putting Customer Securities at Risk

As reported by the SEC.gov on June 23, 2016

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Is your Advisor working in your Best Interest? Did you ever check out the firm you entrust your life savings to?

Less than 1% of investors have taken the time to check their advisor or firm for fines and censures. That is one costly mistake!

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SEC Awards Merrill Whistle-Blowers Record Payout

SEC Awards Merrill Whistle-Blowers Record Payout

Three individuals helped agency bring 2016 case, lawyer says; SEC didn’t name people involved, citing confidentiality rules.

As reported by Think Advisor on March 19, 2018

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Ex-Morgan Stanley Advisor Ami Forte Has a New Job After Scandal

The former Morgan Stanley advisor, fired after a $38 million ruling, is now part of Pinnacle Investments.

As reported by Think Advisor on March 16, 2018

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Is your Advisor working in your Best Interest? Did you ever check out the firm you entrust your life savings to?

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Check Out Who You Entrust Your Life Savings To!

As reported by Think Advisor 2/28/2018...

http://www.thinkadvisor.com/…/ameriprise-smacked-with-sec-s…

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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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