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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