May 30, 20181 minTreasury’s Crime Unit, Consumer Bureau Team Up on Elder Fraud PreventionElder financial exploitation, “the illegal or improper use of an older person’s funds, property or assets,” is the “most common form of...
May 14, 20181 minTrump Promises Aggressive Campaign to Cut Drug PricesDonald Trump said he would propose the most sweeping plan in U.S. history to lower drug prices Drug Plan includes immediate actions &...
Apr 19, 20181 minSEC’s Proposal to Protect Investors Isn’t All That HelpfulSEC passed a proposal that would regulate the way broker-dealers provide financial advice Critics believe that the proposal is a step in...
Jun 23, 20163 min“SEC Deals Merrill a $425M Wallop – Other Firms Could Be Next”From the SEC: Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk “The Securities and...
Sep 22, 20141 minNew FINRA Proposal Puts Responsibility on InvestorsWhen 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,...