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Investor Protection from Unauthorized Withdrawals from Accounts

It’s a Brokerage Firm’s Duty to Protect Client Accounts from Unauthorized Withdrawals!  What are Unauthorized Withdrawals?  FINRA has warned member firms to protect investors against unauthorized...

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Investors Compromised by their Re-Interpretations of Past Events

Every financial instrument – a stock, bond, option, etc. – represents some form of credit. As such, the value of these financial instruments is ultimately determined by the ability of the counterparty...

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A Great Defense is Often the Best Offense

As we approach the final month of 2013, we can look back at the incredible results produced by the U.S. equity markets.  If you were able to stay the course and not let some of the corrections shake...

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Will Congress Step Forward and Help the Investor?

In a recent Forbes article, Edward Siedle suggested that additional subpoenas may be issued to pension advisors in connection with New York’s investigation of the pension consulting industry. The...

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Do I Need a Broker?

The answer and the reasons behind the answer to this question have changed over the years. In order to manage a portfolio effectively you need time, discipline, a plan, and access to information. At...

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One Type of IPO That Is Always Very Risky

The front page of the November 18 issue of Barron’s magazine asks and answers the following question. “Bubble? Yes, in some tech names and new issues.” The related article in the magazine points out...

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Weighing In: Why is Schwab Offering Refunds?

Schwab has offered to refund the prior quarter’s program fee to “some” clients who may be unhappy for any reason. See Trevor Hunnicutt’s article Schwab to give unhappy clients a fee refund.  I wonder...

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Are FINRA Arbitration Panels Fair?

Let me first set the stage and describe how securities arbitration has evolved. In 1987 the Supreme Court ruled that customary brokerage customer agreements calling for arbitration of customer disputes...

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The Bitcoin Fantasy

The electronic currency, known as Bitcoin, is all the rage. It is an alternative to money that is tied to a political system. It is gaining acceptance by all types of buyers and sellers. It is also...

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The P/E Ratio and a Bubble of a Different Sort

The advance in stock prices can be attributed to essentially 3 conditions. (1) A recovery in the U.S. economy, albeit feeble; (2) The Euro zone has calmed, at least temporarily and; (3) The easy money...

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