Tag: suitability
More Disclosure to Investors Purchasing Annuities?
According to the investmentnews.com the National Association of Insurance Commissioners’ joint executive committee plenary, “voted...
Paron Capital Management Charged with False Statements
According to a CFTC public release, the CFTC alleges that Paron Capital Management, LLC (Paron) and a member of the firm “during a March...
REITs with a Debt/Equity Ratio at Risk?
Anand Chokkavelu recently wrote an interesting opinion piece for The Motley Fool about REITs that may be in trouble if regulations of REITs...
Recovery of Forex Futures Investment Losses
Have you suffered investment losses in forex futures trading? If so, The White Law Group may be able to help. The White Law Group is...
Financial Advisors’ Fiduciary Duty
Andrew Haigney recently wrote an interesting article for businessinsider.com where he called investment advice “one of the greatest scams...
FINRA fines UBS over Lehman Brothers Principal Protected Notes
The Financial Industry Regulatory Authority (FINRA) announced that it has fined UBS Financial Services, Inc., $2.5 million, and required...
