top of page
Search


Largest Sanction and Award in FINRA history
Sources: Reuters, Market Watch, Barron’s “The arbitration panel really threw the book at Stifel,” according to one plaintiff’s attorney....
Colleen MacFarlane
Mar 163 min read
1 view
0 comments


Alternative Investments - Know What You're Getting Into
Check your motivation and avoid greed. THIS IS WHY YOU MUST PAY ATTENTION TO ALTERNATIVE INVESTMENTS IN SEARCH OF YIELD! Source(s):...
Colleen MacFarlane
Mar 132 min read
0 views
0 comments


Investors are Getting Attacked from all Sides
Source (s): Investment News—A very informative newsletter; Justia Law; SEC; FINRA; Govinfo.gov , and Thomson Reuters. The Financial...
Colleen MacFarlane
Mar 92 min read
2 views
0 comments


Securities and Exchange Commission Fines Advisor-Upcoming Trial-Allegation recent
SEC charges allege $4M was stolen from U.S. Investors A man is accused of raising $4 million by promising guaranteed returns and other...
Colleen MacFarlane
Mar 62 min read
1 view
0 comments


Bad Advice Abounds
Scams and plain bad advice have escalated on social media, including scams ranging from the Fuel Tax Credit to "pig-butchering" schemes...
Colleen MacFarlane
Feb 271 min read
0 views
0 comments


Tax Pros are Required to have Cybersecurity Plan
Have a plan for that - This year, the IRS has received more than 250 reports of data breach incidents from tax professionals affecting...
Colleen MacFarlane
Feb 271 min read
0 views
0 comments


WARNING: Don't Say "Yes"
Imagine getting a phone call from what sounds exactly like your grandson, urgently asking for money because he's in trouble. He might...
Colleen MacFarlane
Feb 251 min read
2 views
0 comments


Convicted and Awaiting Sentencing
Gentile and Schneider were convicted of fraud and conspiracy after a 7-week trial in federal court in Brooklyn. They’ll be sentenced in...
Colleen MacFarlane
Feb 242 min read
6 views
0 comments


Survey Says, .....
According to a survey conducted by the American Association of Individual Investors; When it comes to use of mutual funds, Domestic...
Colleen MacFarlane
Feb 202 min read
0 views
0 comments


Breach of Fiduciary Duty
Elderly clients impacted in transfers to higher-fee advisory accounts. Source: SEC.gov -- Washington D.C., Feb. 14, 2025 — The...
Colleen MacFarlane
Feb 202 min read
0 views
0 comments


Elder Fraud, .... Again.
Source(s): Financial Planning, Dan Shaw; Think Advisor; SEC. It’s happened again – Charles Schwab in another suit. Charles Schwab once...
Colleen MacFarlane
Feb 201 min read
0 views
0 comments


Costs of Fees Charged by Planners Continue to Keep Clients Away - Still High
Source: Investment News. Thanks to an article from this informative newsletter and a survey, I thought it important to re-post these...
Colleen MacFarlane
Feb 162 min read
0 views
0 comments


Scam Alert! Gold Bar Scam Against Elderly Woman
Stunning article in Investment News FEB 11, 2025 By Bruce Kell Here's an informative article about yet another scam. Thanks to the...
Colleen MacFarlane
Feb 123 min read
0 views
0 comments


Fatal Funds - Hybrid Fiction & Nonfiction
Give yourself the gift of knowledge. Financial savvy is a great thing to check off your list for 2025 achieved goals. FATAL FUNDS -...
Colleen MacFarlane
Feb 101 min read
0 views
0 comments


Wall Streets Fees Withering Away-Beware of ALT's Opacity & Complexity
More from article by Jason Zweig. Wall Street’s traditional sources of vigorish—the cut it takes as the middleman—have withered away....
Colleen MacFarlane
Feb 92 min read
1 view
0 comments


You're Invited to Wall Street's Private Party. Say You're Busy
A great article in the WSJ by Jason Zweig. I just had to share it: Small-time investors may soon gain easier access to so-called private...
Colleen MacFarlane
Feb 92 min read
0 views
0 comments


The Cost of Financial Advice; An Evolving Debate! Stay Tuned.
Financial advisors who work as independent contractors typically charge a client an annual fee in the neighborhood of 1 percent of a...
Colleen MacFarlane
Feb 32 min read
3 views
0 comments


Will Financial Advisors Have to Change their Fee Structures?
Many in the broad financial advice industry expect fees advisors charge to clients for managing money and performing a variety of...
Colleen MacFarlane
Feb 31 min read
0 views
0 comments


Mutual Funds vs. ETFs
This year has seen a record number of mutual fund-to-ETF switches, according to data compiled by Morningstar Direct. A majority of the...
Colleen MacFarlane
Feb 31 min read
0 views
0 comments


A Sucker Born Every Minute
If there's a sucker born every minute, the birthrate of scammers seems to keep pace. "Abundant scams and rip-offs being seen by the IRS...
Colleen MacFarlane
Jan 301 min read
1 view
0 comments
bottom of page