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No doubt that retail investors’ stomachs are churning from the stock market’s recent gyrations. Now, Mom and Pop investors may also be overcome with indigestion from the flagging corporate bonds in their portfolios. Moody’s Investors Service recently warned that an unprecedented number of corporate credit ratings could be thrown into […]
The stock market’s volatility continues to roil and slam retail investors’ portfolios. After last month’s ups and downs, the Dow continued its downward trajectory this week by dropping another 700 points. While many focus on such dramatic plunges, there is a more obscure, almost hidden problem in the financial system: […]
Variable annuities have long been a retirement investment product which Wall Street pushed on Main Street customers to generate fees and commissions, commonly 6% of the amount invested. That means if a client buys a variable annuity from a broker for $100,000, the broker is paid a whopping commission of […]
As an investor, you expect to deal with market fluctuations, and you understand that your portfolio will experience ups and downs over time. But, one thing you do not expect is to lose your life’s savings to broker or investment advisor fraud. Unfortunately, in today’s world this is a legitimate […]
As the stock market skids downward and sees increased volatility, investors should take a close look at their secured loan portfolios. All across Wall Street, securities-based lending is red hot, as The Motley Fool noted. And guess who the target is? You guessed it, Mom and Pop. Nearly a decade […]
The Financial Industry Regulatory Authority (FINRA) is one of various authorities tasked with promoting transparency and investor safety within the retail investment industry. Specifically, among other roles, FINRA maintains a broker registration system under which all individual brokers and brokerage firms must register before offering their services to individual investors. […]
Many investment fraud scams involve fees and transaction costs that are designed to allow brokers and advisors to profit at their customers’ expense. But, in most cases, these fees and costs are disguised or limited in such a way that the relationship still seems worthwhile to individual investors. In one […]
The market sell-off last week reminded investors that October can be spooky, and Halloween is still weeks away. From Wednesday to Friday, the S&P 500 hit fresh lows, dropping 5% in hours, with most stock averages down 4% after the rocking and rolling week. Remember, Wall Street traders are particularly nervous in […]
After a string of high-profile cases, there was a lull where we didn’t hear much at all about Ponzi schemes. But, the well-known (though often-misunderstood) financial fraud scam came roaring back into the headlines last month when the Securities and Exchange Commission (SEC) unsealed a Complaint in which it alleged […]
Bitcoin is around 10 years old, but the future of the cryptocurrency remains uncertain according to a recent Forbes article. According to Forbes, a new report indicates that the financial system that created Bitcoin could end up making the cryptocurrency obsolete. Investors need to be aware of the potential risks […]