FINRA issued a press release in February announcing its approval of a rule that would “prohibit firms and associated person from conditioning settlements of customer disputes on, … an agreement not to oppose a request to expunge information from an associated person’s Central Registration Depository (“CRD”) record.”...More
VIEWPOINTS: Joseph Halpern, CEO, Exceed Investments; Do structured notes present a similar binary outcome between buyer and seller? If the investing purchaser makes money, does the issuing bank lose money? And vice versa? The answer is a resounding no....More
Advisors who ignore non-financial assets such as human capital, pension wealth and home location in their asset allocation may be exposing clients to significant risks, according to Morningstar....More
U.S. fund managers warned this month of risks shareholders could face from current or future Western sanctions against Russia, underscoring the stakes for emerging-markets investors arising out of the turmoil in Ukraine....More
National Real Estate Investor has compiled a list of the 10 retail chains most likely to leave your center in 2014, in ascending order, based on same-store sales results, debt loads and plain old common sense.
American Funds, one of the largest U.S. mutual funds families, sent an email to 825,000 shareholders on Wednesday, advising them to change their passwords, citing "a very narrow window of risk" related to the Heartbleed Internet threat....More