Author: D. Daxton White
Information regarding brokerage firm securities fraud cases.
Although most investors have heard of the large brokerage firms like Wachovia, Wells Fargo, Morgan Stanley Smith Barney, A.G. Edwards, Banc...
Frances Ann Reams suspended from FINRA
In June 2009, FINRA announced that Frances Ann Reams, then employed with Wachovia Securities, LLC in Roanoke, Virginia, had been suspended...
Understanding Mutual Fund Classes (A shares, B shares, C shares)
As an investor, you may have read about “Class A,” “Class B,” Class C,” or other classes of mutual fund...
FINRA Fines Merrill Lynch and UBS for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc....
Variable Annuity Exchanges- Are they suitable?
Investor Alert – Variable Annuity Exchanges Have you been approached by your financial advisor to exchange the annuity or policy for...
