Sep 26, 20191 minIPO’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...
Aug 21, 20191 minThe Dangers of being an Emotional Short-term InvestorThere are many factors that play a role in the success of an investor’s retirement portfolio, and some of those, such as market...
Jun 12, 20181 minMerrill Hit With $15M SEC Penalty Over RMBS InfractionsMerrill Lynch agreed to pay SEC $15+ million to settle charges that employees misled customers into overpaying for securities Merrill’s...
May 20, 20181 minWatch Out for These 4 Behaviors by Your Financial ProfessionalAsking for a Personal Loan Sales of Promissory Notes Using Personal Email Asking You to Write a Check to a Person or Entity Other than...
May 17, 20181 minFINRA fines Fifth Third Securities $4M for variable-annuity violations & must pay $2M in restitThe Firm “fail[ed] to appropriately consider and accurately describe the costs and benefits of variable annuity exchanges,” FINRA said in...