Tag Archives: FINRA

Weathering Tough Economic Times—12 Tips for 2012

As reported by FINRA on December 22, 2011: Tough economic times have taken a toll on many Americans over the last couple of years. But making sound financial decisions and saving for the future can help you weather financial storms. … Continue reading

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FINRA Alert: Make the Most of your Employer’s 401(k) Match

Why leave money on the table? As reported by FINRA.org on November 10, 2011. Would you turn down free money? Many employers match an employee’s 401(k) contributions up to a certain percent of salary. If you contribute less than your … Continue reading

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FINRA Alert: “Gold” Stocks – Some Investments Mine your Pocketbook

As reported by FINRA.org The price of gold bullion—which recently touched an all-time high—has sparked considerable interest in gold investing, not to mention aggressive marketing and advertising of gold investments, including gold stocks. And even a cursory Internet search will … Continue reading

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FINRA Alert: Chasing Returns in a Challenging Investment Environment

The Grass Isn’t Always Greener. As reported by FINRA.org. Investors currently find themselves in a difficult investing environment. Yields on fixed-income investments are at historically low levels, and stock returns have been quite volatile. What’s an investor to do? Some investors … Continue reading

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FINRA Alert: Structured Notes with Principal Protection

Structured Notes With Principal Protection: Note the Terms of Your Investment As reported by FINRA.org The retail market for structured notes with principal protection has been growing in recent years. While these products often have reassuring names that include some … Continue reading

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FINRA Alert: “Phishing” & Other Online Identity Theft Scams

As reported on FINRA.org. Fraudsters can turn on a dime when it comes to creating new pitches to separate hard-working Americans from their money. Virtually any news item, positive or negative, can become a “hook” for a new scam—and the … Continue reading

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10 Tips to Keep Track of Your Investments

As reported on FINRA.org. Whether you work with a broker or adviser or you trade on your own, you should always monitor your investments. By keeping an eye on your investments, you can prevent minor mistakes from turning into big … Continue reading

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FINRA Alert: High Yield Investment Programs

As reported on FINRA.org. HYIPs—High Yield Investment Programs Are Hazardous to Your Investment Portfolio High-yield investment programs (HYIPs) are unregistered investments created and touted by unlicensed individuals. Typically offered through slick (and sometimes not-so-slick) websites, HYIPs dangle the contradictory promises … Continue reading

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Securities Regulators Publish Updated Best Practices for Firms Serving Seniors

As reported on SEC.gov, August 13, 2010. The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and North American Securities Administrators Association (NASAA) today updated a joint report that outlines practices being used by financial services firms to strengthen … Continue reading

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