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Do I Need Financial Investment Advice?
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December 3, 2010 @ 3:58 pm |
It's just a plain fact that one of the many things that this nation has to keep it and its economy growing strong, is it's heavily diversified financial services sector. Even so, for the individual investor and you may be one of the many out there, it's the diversity in and of itself that can make the decision of what to select from in this genre so incredibly difficult....
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Good Investments For Young People
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December 3, 2010 @ 2:55 pm |
Investing for young people in this world is a smart idea. This will help them financially as they get older in life. This article will explain some good investment tips for young people....
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Is There a Madoff in Your Neighborhood?
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December 3, 2010 @ 1:31 pm |
Much has been written about how and why Bernie Madoff was so successful in fooling so many people for so long. Although the number of individuals that have been victimized by Ponzi schemes is a fraction of all investors, it pays to take precautions against financial predators....
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New ULIP Guidelines: Benefits and Impact
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December 3, 2010 @ 12:30 pm |
Insurance Regulatory and Development Authority has issued new guidelines for ULIPS. These new set of guidelines are applicable from September 1. Let us discuss about the pros and cons of these guidelines....
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Fee Rate Advisory #3 for Fiscal Year 2011
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December 3, 2010 @ 11:00 am |
The President and Congress are expected to extend the continuing resolution funding the Securities and Exchange Commission through Dec. 18, 2010. During this period, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates....
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Budget Investing
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December 3, 2010 @ 10:51 am |
Investing your money can be both frightening and thrilling at the same moment. Without the right knowledge you will need serious luck......
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Cash Flow Strategies
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December 3, 2010 @ 10:01 am |
Cash flow strategies and balance are the keys to success in most of our endeavors. Too often these important facts are overlooked whether people are pursuing good health, exercise, work/play, or wealth creation....
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Friday Q&A - Are EFLs and Promissory Notes Enforceable?
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December 3, 2010 @ 7:25 am |
Friday Q & A – I recently left Bank of America after the ML merger, and they now want me to repay the bonus that I received. BofA killed my business, and ML actually made it worse? Do I have to repay the money? Will they settle or do I have to go to arbitration?
This is almost becoming a daily question in our office, and not only with Bank of America reps. The turmoil in the financial markets has cause turmoil for brokers and firms as well. Add to that the move to become independent, and/or starting your own RIA (finally!) and there is quite a bit going on in broker tra...
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Best Safe Investment Strategies For 2011 and Beyond
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December 3, 2010 @ 5:49 am |
The best investment strategies for 2011 and beyond will reflect the new realities in the world of investments: better safe than sorry. Diversification is the key to good investment strategies, but as the future unfolds finding the best alternatives in each investment class could get a bit tricky. Here's a basic guide geared to making life easier for average investors, which includes most of us....
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 FINRA Attacks New Source Of Securities Fraud
- Securities fraud costs investors billions of dollars annually. Sometimes the ...
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LPL's $7.5M e-mail fine just latest in Finra crackdown
- The record fine Finra meted out to LPL for failing to oversee its e-mail system ...
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Investors, beware: housing market still has cracks
- Investors should take note: the housing market still has its issues, notably ris...
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BNY Mellon ripe for wealth management expansion
- Thriving unit plans to add 100 workers to operation by end of 2014; largest staf...
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SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds
- FOR IMMEDIATE RELEASE
2013-91
Washington, D.C.,...
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Massachusetts reaches $9.6 mln REIT settlement with 5 broker-dealers
- The fines and restitution will settle what the state's top securities regulator ...
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Five IBDs in $9.6M settlement over nontraded REIT sales
- Ameriprise and four other IBDs agreed to pay fines and restitution in a deal wit...
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Regulatory watchdog FINRA to oversee Direct Edge's surveillance
- The agreement with Direct Edge allowing FINRA to look out for abusive trading on...
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U.S. prosecutors consider using racketeering law against SAC - source
- Authorities may use the RICO Act, most commonly associated with prosecutions aga...
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Customers Complain That Edward Jones Didn't Stop In The Name Of Love
- The line in the song goes: Stop in the name of love before you break my heart. A...
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CFTC watchdog faults Gensler for recusal from MF Global probe
- The findings by the inspector general of the CFTC, Roy Lavik, were part of a bro...
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Deli Owner Bounces $82 Million In Checks
- You got your folks who dream. You got your folks who dream big. And then you got...
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SEC charges South Miami with fraud over debt deals
- The city agreed to settle the fraud charges and retain an independent consultant...
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Accounting Firm Ordered to Pay $180,000 in Sanctions For Withholding Documents Relating to Seattle's 'Mini-Madoff'
- A federal judge ruled that an accounting firm should pay $180,000 in legal fe...
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$27 Million ATM Ponzi Scheme Results in Prison For California Brothers, Woman
- Two California brothers and a woman who lived with them were
SEC Won't Sue Big Lots Over Ex-CEO's $10M Stock Sale
- Discount retailer Big Lots Inc. said Tuesday that it wouldn't face an enforc...
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NetSpend Investors Can’t Block $1.4B Sale Over PE Favoritism
- A Delaware Chancery judge on Tuesday denied a bid by NetSpend Corp. shareholders...
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Advisers in storm-ravaged Oklahoma struggle to find clients, neighbors
- Advisers in storm-ravaged Oklahoma struggle to find clients and neighbors amid t...
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Mayer Brown Snags Real Estate Finance Pro From Dechert
- Mayer Brown LLP said Friday it had picked up a Dechert LLP attorney with experti...
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Investors Prevail Over Citigroup In ARS Market-Bust Arbitration
- Citigroup Global Markets Inc. must pay $1 million in damages to two Texas compan...
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Citing change at the firm, brother and sister team splits Morgan Stanley
- A brother and sister team with strong family ties to Salomon Smith Barney have l...
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NFP Directors Sued Over $1.3B Madison Dearborn Deal
- The directors and executives of brokerage services firm National Financial Partn...
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Thompson & Knight Dodges $2.5M Shareholder Fraud Appeal
- A Texas appeals court declined Tuesday to revive a $2.5 million suit against Tho...
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Dreier Investors Say Profits Weren't Part Of Ponzi Scheme
- Attorneys for two investors being sued for millions by Dreier LLP's Chapter ...
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EU Oil Price-Fixing Probe Could Rival Libor Scandal
- The European Commission's probe of alleged manipulation of crude oil benchma...
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Watchdog Report Faults CFTC Head's MF Global Recusal
- U.S. Commodity Futures Trading Commission Chairman Gary Gensler disregarded lega...
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Lion Capital Head Pleads Guilty To $1.3M Fraud Scheme
- The former operator of Lion Capital Management LLC pled guilty Tuesday to four f...
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Private Placement And Emails Snag FINRA CCO
- For the purpose of proposing a settlement of rule violations alleged by the Fina...
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LPL hit with largest Finra fine ever for e-mail case
- Finra on Tuesday slapped LPL with a $7.5M fine, its largest ever for an email-re...
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SAC's Martoma says U.S. impedes defense in fraud case
- Former SAC Capital Advisors portfolio manager Mathew Martoma said the government...
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Professional Stock Trading: System Design and Automation
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Trading Secrets: An Insider's Account Of The Scandal At The Wall Street Journal
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