Tag Archives: investment

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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SEC Charges Bay Area Investment Adviser for Not Disclosing Conflict of Interest to Investors

As reported on SEC.gov, in Press Release 2010-174, September 29, 2010. The Securities and Exchange Commission today charged a Bay Area investment adviser with securities law violations for switching his clients between two related investments without informing them that the … Continue reading

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Corporations – Investment Company Act of 1940

Private party may not bring action for violation of Section 13(a) of Investment Company Act of 1940. A California Court of Appeal reversed the lower court’s decision in NORTHSTAR FINANCIAL ADVISORS, INC v. SCHWAB INVESTMENTS.  The district court held that … 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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What are America’s Investing Legends Buying?

As reported on Money.CNN.com, by Blake Ellis, August 17, 2010. Whether it has been investing in gun manufacturers and energy companies or ditching food suppliers, America’s best known investors were busy in the second quarter. Here’s what a few of … 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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SEC Sues New Jersey for Fraud

As reported on CNNMoney.com, by Ben Rooney, August 18, 2010. The State of New Jersey agreed to settle fraud charges brought by the Securities and Exchange Commission Wednesday after it became the first U.S. state ever to be accused of … Continue reading

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Vulture Investors: They’re Back & Making a Bundle

As reported on CNNMoney.com, by Les Christie, August 5, 2010. These are the glory days of the residential real estate investor. Low prices, rock-bottom interest rates and stable rental markets have created huge buying opportunities. “It’s awesome right now. I … Continue reading

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