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...
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...
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...
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....
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...
In recent years, companies and investment funds have touted their commitment to ESG – environmental, social and (corporate) governance -- priorities. A commitment to these s something that many investors look for when determining where to put their money. Not...
After the collapse of the cryptocurrency exchange FTX in 2022, many investors came to realize that there was little or no recourse for their losses. Although you can lose money in any type of investment, there are still significant investor protections available in...
Do you understand options trading? Most people have little to no idea what it is. Only experienced, knowledgeable investors are in a position to understand the risks and potential benefits. The Financial Industry Regulatory Authority (FINRA) recently announced a...
We’ve discussed NFTs (non-fungible tokens) before on this blog. They represent, perhaps, an entirely new form of intellectual property. These crypto assets can currently only be traded via blockchain transactions. Their value depends entirely on the buyer’s trust in...
Yes. Specifically, if your advisor was licensed through the Financial Industry Regulatory Authority (FINRA), you can file an arbitration claim to get some or all of your money back. Whether your claim will succeed depends on exactly what happened. All investments...
