by wittenberglaw | Sep 9, 2011 | Uncategorized
There has been plenty of debate in Washington over whether broker-dealers should be subject to the same legal standard as registered investment advisers — this is the so-called “fiduciary rule.” Plainly stated (and without reference to differences...
by wittenberglaw | Sep 7, 2011 | Uncategorized
FINRA Fines Citigroup $500,000 for Failing to Supervise Sales Assistant Who Misappropriated Customer Funds The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara...
by wittenberglaw | Sep 7, 2011 | Uncategorized
With the price of gold bullion at record levels, there has been a proliferation of blogs, websites, YouTube videos and Tweets centered on investing in gold. And while there are legitimate gold investments discussed online, Financial Industry Regulatory Authority...
by wittenberglaw | Sep 7, 2011 | Uncategorized
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined five broker-dealers for understating the amount of total commissions charged to customers in trade confirmations and on fee schedules by mischaracterizing a portion of the commission...
by wittenberglaw | Sep 7, 2011 | Uncategorized
Investmentnews.com published a list of certain broker-dealers, and it included some detailed information on each of these broker-dealers. If you have an account at one of these broker-dealers and would like a free consultation concerning your account, please call...
by wittenberglaw | Aug 17, 2011 | Uncategorized
According to a new report from the Insured Retirement Institute, 48% of middle income baby boomers are not comfortable making investment decisions. Additionally, the report stated that 43% have contacted an investment adviser. These figures are astounding because many...
