People who have a fair amount of money to invest look for an investment advisor who can navigate them through the twists and turns of the economy, stock and bond markets and U.S. dollar fluctuations. They want professionals who can foresee upcoming changes as much as...
Securities Law And Litigation
Investment advisors must respect your risk tolerance
Determining how to invest money isn’t always an easy task. Many individuals opt to work with an investment advisor to set up a plan and keep it moving in the right direction. There are many factors that these advisors have to consider. One of these is your risk...
What if your responsible investment turns out to be a lie?
If you can afford to put money aside, investing it wisely can see it grow without the need for input on your part – and some people prioritize the return on their investment over anything else. But that is not true for all. More and more people want to be sure their...
Internet hype to promote investments can trigger fraud charges
The concept of guerrilla internet marketing has been around for decades at this point. People infiltrate websites, social media apps and forums to build social connections. They then promote specific products or brands to people who view them as peers or even friends,...
How older investors can recover from unsuitable investments
Investing later in life often means prioritizing capital preservation and steady income over aggressive growth. Unfortunately, many older investors find themselves placed in risky or unsuitable financial products that don’t align with their goals, risk tolerance or...
Risk tolerance incompatibility can lead to unsuitable investments
Investment strategies must be tailored to meet each investor’s needs. One factor that must go into these decisions is the risk tolerance the person has. This refers to the person’s ability to endure market fluctuations and potential losses as they pursue the returns...
How can I ensure my company’s SEC compliance program is adequate?
An owner or executive should conduct a comprehensive internal compliance risk assessment to ensure that a company's SEC compliance program is adequate. This process is crucial for understanding the current program's strengths and identifying areas that need...
3 questions to ask to avoid investment fraud
Investment fraud can make you lose millions of dollars. While some frauds can be very well hidden using tactics that appear legitimate, asking questions can help you detect red flags in an investment opportunity. Below are three questions to ask: 1. What is the...
The significance of the bourbon whisky industry
Bourbon, a type of American whisky, has recently surged worldwide. This increased demand has boosted production and sales, with many distilleries expanding operations. Innovations in flavor profiles and marketing strategies have added to this impressive growth....
What is investment churning?
When someone hires an investment firm or a financial advisor, they want that person to put their best interests first. The individual who is investing may believe that they don’t have the proper knowledge to maximize their investments. They do have the capital, but...


