Blog Posts in September, 2011
Posted on Sep 26, 2011 By Heidi VonderHeide
Choosing the person with whom to trust your money can be a difficult decision. There are many different options when it comes to investment professionals and great variation when it comes to ...
Continue reading "RESEARCHING YOUR BROKER: TIPS AND TOOLS FROM FINRA AND THE SEC" »
Posted on Sep 26, 2011 By Heidi VonderHeide
On September 7, 2011, FINRA announced that it had fined five broker-dealers for charging customers additional commission charges that were “mischaracterized” on trade confirmations as ...
Continue reading "FINRA Announces Fines Issued To Five Broker-Dealers for Charging Customers Commissions Mischaracterized as Ancillary Fees" »
Posted on Sep 17, 2011 By Heidi VonderHeide
FINRA recently issued an investor alert warning investors about selling traditional, lower-risk investments in order to invest in higher-risk, highly complex investments such as high-yield bonds, ...
Continue reading "FINRA Issues Investor Warning About Chasing Returns in Non-Traditional Investments" »
Posted on Sep 17, 2011 By Heidi VonderHeide
The SEC and FINRA have issued an Investor Alert warning investors about investing in structured notes with principal protection. The Alert warns that these types of investments, despite their ...
Continue reading "FINRA, SEC Warns Investors About Investing in Structured Notes with Principal Protection." »
Posted on Sep 17, 2011 By Heidi VonderHeide
On August 24, 2011, FINRA issued a new Investor Alert titled "Gold" Stocks—Some Investments Mine Your Pocketbook.” With the price of gold recently hitting an all-time high, the ...
Continue reading "FINRA Issues Warning on Gold Stock Scams" »