Markets

IPO’s, an investor’s worst enemy.

IPO’s, an investor’s worst enemy. Our Take: Do your homework, more investors lose. Avoid IPO’s IPO’s are good for Wall Street, NOT your...

The Dangers of being an Emotional Short-term Investor

There are many factors that play a role in the success of an investor’s retirement portfolio, and some of those, such as market...

$Merrill Hit With $15M SEC Penalty Over RMBS Infractions$

Merrill Hit With $15M SEC Penalty Over RMBS Infractions

Merrill Lynch agreed to pay SEC $15+ million to settle charges that employees misled customers into overpaying for securities Merrill’s...

Watch Out for These 4 Behaviors by Your Financial Professional

Asking for a Personal Loan Sales of Promissory Notes Using Personal Email Asking You to Write a Check to a Person or Entity Other than...

FINRA fines Fifth Third Securities $4M for variable-annuity violations & must pay $2M in restit

The Firm “fail[ed] to appropriately consider and accurately describe the costs and benefits of variable annuity exchanges,” FINRA said in...