What to Do if Broker is Making Unauthorized Trades on Account
Question: My 90 year old aunt has Alzheimer’s and was recently moved into an Assisted Living Community. While moving her...
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June 9, 2011
Elder Abuse, Investments
Elder Abuse, Investments
Warning Signs of a Ponzi Scheme – What to Look for
A Ponzi scheme is a phony investment plan where investors are promised high rates of returns on their investment but...
June 8, 2011
Elder Abuse, Investments
Elder Abuse, Investments
A Broker Made Risky Investments and Lost My Parents Savings!
Question: What recourse do we have if my mother’s broker inappropriately invested her life savings in risky investments and the...
June 5, 2011
Investments
Investments
Beware: Higher Yielding Investments Can Have Higher Risks
Interest rates on bank CDs and money market funds have been at historic lows over the last several years. Sure,...
June 5, 2011
Investments, Short QA
Investments, Short QA
Due Diligence on Stockbrokers Before Investing is Always Prudent
Question: A stockbrokers has solicited me to open a brokerage account with him. He seems like an honest person who...
January 6, 2011
Investments
Investments
What Does ‘Fiduciary’ Mean as it Applies to Financial Advisors?
The word fiduciary stems from the Latin root word fīdere, to trust. Applied to financial advisors, the term fiduciary ethos...