A new trend in investing is structured products. They are structured notes or Structured CDs that use the term “CMS-Linked” and refer to structured note investments that are linked to Constant Maturity Swap (CMS) rates. These are unique securities that have been gaining a lot of investors in the past years. These are often bundled […]
Investor Guide On Structured Notes and Structured Products Read More »
Many investors are seeing substantial losses in the stock market. Too often, investors lose money in the stock market and don’t know what to do. The common question we receive is, “Can I sue my financial advisor?” The answer is that you can sue your financial advisor to recover losses. One of the common reasons
Suing A Financial Advisor For Losses Read More »
Herbert J. Sims & Co., Inc. (HJ Sims) was founded in 1935 as a financial services firm offering private wealth management and other services… the firm represents to investors that it takes a holistic view and provides investor clients with the resources of a full-service firm, offering broker-dealer as well advisory services through affiliate entities.
HJ SIMS Investors Alert! Read More »
Charges have recently been filed by the Securities and Exchange Commission (SEC) against Chicago-based broker Bradley Allen Goodbread, earlier associated with LPL Financial. Goodbread is accused of defrauding a senior client with dementia out of $1.3 million. Sadly elder financial abuse is growing. Elder financial abuse can occur when an adult misappropriates or uses an
Bradley Goodbread Accused of $1.3M Fraud Against Senior Investor – Elder Financial Abuse Read More »
The FINRA has permanently barred James Blake Daughtry from broker activities after he was found to have committed multiple securities law violations. Daughtry was first sanctioned by the INRA in 2016 when he was suspended from acting as a broker for a period of six months. Dotham, Alabama based financial advisor (FA) James Blake Daughtry,
FINRA Bars James Blake Daughtry After Securities Law Violations Read More »