VNA & Hospice Foundation’s Planned Giving Committee’s Advisory Council

Matthew Thibaut and Jason Haselkorn were appointed to the VNA & Hospice Foundation’s Planned Giving Committee’s Advisory Council in Vero Beach, FL. VNA’s mission is to provide compassionate, innovative care of the highest quality, setting the standard for patients and caregivers needing home health, hospice and community health services. In addition, Matthew Thibaut was appointed …

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jp morgan investment loss

JP Morgan Investment Loss?

JP Morgan recently reported financial earnings and it seems like a distant memory that in December 2015, JP Morgan paid a $267 million fine to the SEC. The SEC Press Release refers to improper disclosures to customers as well as improper efforts by employees of JP Morgan to steer customer investments into proprietary mutual funds and …

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Markets Hit Record Highs, But How Confident Are You

Make sure your financial advisor and their firm accurately reflect your risk tolerance. With recent volatility and an 800 point market drop in the immediate aftermath of Brexit, just a few weeks later and it looks like nothing but a blip on the radar screen. Since the Brexit vote results were announced, we saw an …

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Whose Side is Your Financial Advisor Really On

If you are like most investors, you read the brochures and advertising materials where brokerage firms want to gain your trust (and your assets) by convincing you that they can help you save for your retirement, keep your money safe and secure, assist you in making wise investments, and advise you in making other critical …

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Brexit: The Brits Have Spoken

The British have spoken: Brits want the United Kingdom to leave the European Union, commonly known as Brexit, and global markets have been rattled since the announcement. In addition to the extreme market volatility, Prime Minister David Cameron announced his resignation; Scotland is making noise that it may revisit its independence, and what’s next. Nobody …

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SEC Merrill Lynch

SEC Prepare Civil Enforcement Action Against SEC Merrill Lynch

In an article in the Wall Street Journal on Wednesday, June 22, 2016, it was announced that the Securities and Exchange Commission (SEC) is preparing a civil enforcement action against sec Merrill Lynch relating to the issuance of structured products investments in 2010. A structured product (oftentimes referred to as a structured note) is a …

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Stockbroker Complaints: Oppenheimer Roster of Brokers

Professionals that invest your retirement money will soon have to do so with your best interests in mind. Last month, three professors released working papers related to licensed financial professionals noting among other things that might be very disconcerting is that five of the ten counties in the United States with the highest percentages of …

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The Sun has Set at SunEdison – The Company is Bankrupt!

The securities arbitration and investment litigation group is currently investigating cases relating to client investments in SunEdison, Inc. (SunEdison Ticker Symbol: SUNE), one of the nation’s largest providers of electricity and renewable energy, which announced on April 21, 2016, that it has filed for Chapter 11 Bankruptcy. In a press release, SunEdison stated that its …

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Stop Calling This The ‘Most Hated Bull Market in History’

Although USA Today and other media channels have taken a liking to this phrase to describe the market conditions, there does not appear to be support for the idea. Rather, the author’s research in the attached article reflects something very different, that our economy is just coming off one of the longest sustained period of …

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fiduciary rule

Fiduciary Rule Equalizes System For Clients, Financial Advisors

U.S. financial advisors will now be required to put their clients best interests before their own profits. This is a new law known as the Department of Labor’s (DOL’s) fiduciary rule or fiduciary standard.  FINRA is now holding this standard. Prior to this rule, financial advisors were not required to put their clients’ financial interests …

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