Tag: commissions
Reverse Churning: When your Broker Collects a Fee for doing Nothing
Investor alert: Fee-based Accounts may not be in your Best Interest Did your broker transition you from a commission-based to fee-based...
FINRA Fines Atlanta based broker-dealer SunTrust Investment Services
FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...
Regulation of Equity Indexed Annuities
According to a recent Wall Street Journal article, a court order has scuttled a rule to regulate equity-indexed annuities as securities and...
