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Who Will Trump’s Pick to Lead SEC Protect?

By Alex Monje President Donald Trump has nominated Wall Street lawyer, Jay Clayton, to head the Securities and Exchange Commission (SEC). Jay Clayton, of the high-powered New York City firm Sullivan & Cromwell, has built a career defending the likes of Goldman Sachs and other Wall Street banks. There is little doubt that Clayton is [&hellip

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Fee-Based Accounts: Beneficial or Detrimental?

By Patrick Kalbac Last April, the Department of Labor implemented a new fiduciary rule. The fiduciary rule requires financial advisors to put their client’s interest before their own. This differs from the less stringent suitability standard which only requires that the recommended investment be appropriate for the investor. The fiduciary rule was intended to stop [&hellip

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Are You Putting All Your Investment Eggs into One Basket?

By Caleb Sugg Over-concentration is often a large threat to unsophisticated investors. Simplified, over-concentration consists of putting too many assets into one type of holding and in doing so, risking losing those funds. The following is information to aid the unsophisticated investor in identifying types of over-concentration. Over-concentration can occur in a portfolio in numerous [&hellip

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The Dark Side of Reverse Mortgages

By Zachary Windham If you watch the news regularly, then chances are that you have seen some notable celebrity pitching the endless advantages of a reverse home mortgage. Actors such as Robert Wagner, Henry Winkler, Tom Selleck, and former U.S. Senator Fred Thompson have all touted the reverse mortgage’s ability to provide a comfortable, steady [&hellip

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Options Trading: Retirees Beware

By Blaine B. Remmick Options are a form of financial instrument known as a derivative, which Warren Buffet describes as a “financial weapon of mass destruction.” More specifically, options are contracts that allow a person to buy or sell an underlying asset at a specified price as long as the contract is executed by a [&hellip

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Exploring the Benefits of FINRA’s Securities Helpline for Seniors

By Josh Gutter In late September 2016, the SEC charged a CEO and boiler room operator “with defrauding seniors and others who were pressured to invest in a pair of penny stock companies and promised lucrative profits.”  This crime is just one example of how senior citizens can become the victims of financial fraud.  In [&hellip

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Not All That Glitters is Gold

By Anna Pierlussi Every time the price of gold bullions hits a record high, the interest in investing in gold skyrockets. TV campaigns, radio advertisements, blogs, and many other social media channels will often aggressively promote investing in gold. The problem is that most of the stocks and opportunities promoted do not involve a direct investment [&hellip

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H.R. 2357 – the Accelerating Access to Capital Act of 2015

By O. Jean Strickland As the Wall Street Journal reports, on September 8, 2016, the House of Representatives (“House”) passed H.R. 2357 – Title I—Accelerating Access to Capital.  Should this bill become law, it will direct the Securities and Exchange Commission (“SEC”) to revise Form S–3, which provides a streamlined process for access to capital [&hellip

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Beware of Boiler-Room Style Calls

By Kristen Barros With decades worth of Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) warnings, boiler room-style scams have nonetheless been a successful tactic used by many scamming brokers. These calls consist of a surprise phone call by a broker with a high-pressure sales pitch urging customers to invest in different [&hellip

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Think Twice if Your Broker Suggests an MLP

By Jon Sallah In the current low-yield environment, investors and advisors have been seeking alternative investments that offer better returns than those that are currently available through banks or corporations. In recent years, investors and brokers began purchasing partnership units in Master Limited Partnerships (“MLPs”) because they offer higher than average yields in the form [&hellip

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