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Article Archive
- Wary Investors Are Seeking Out Other Voices
Some people are leaving stock brokers for registered investment advisors, but investors must beware
- Brokerage firms feel the heat from securities fraud cases
Brokerage firms face new liabilities for selling ponzi schemes and failing to investigate issues they pushed
- SEC Plays Keep-Up in High-Tech Race
So, you think that the SEC is there to protect you, and is up to the task?
- Stocks, Oil Hit New 2009 Highs---But What About MY Accounts
Today, Stocks (and Oil) hit new 2009 Highs--but what about my accounts, which seem closer to their lows?
- Stockbroker whistleblower gets standing ovation
Here is an outstanding story about how an ethical broker stood up to the pressures to sell her clients a terrible product, and the high price she herself paid for her morality.
- Fidelity the Latest to Caution on Exchange Traded Funds
Is another too sophisticated synthetic financial product--exchange traded funds ETF--about to cause big losses?
- Up 40%, but Still Feeling Down
Quiz: If the market goes down 50%, then up 40%, you are just 10% down, right? WRONG.
- Dumbest Moments in Business 2009….Midyear edition, from Money.cnn.com
CNN notes: The SEC has now barred Madoff from the securities business, after he confesses and goes to jail
- Woman wins $5.6 million in arbitration against a brokerage
Largest Arbitration award in Minnesota history--too much concentration in certain stocks.
- Merrill Pays $7 Million to Settle ‘Squawk Box’ Case
Merrill Lynch pays $7 Million for favoring some customers over others
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