The Financial Industry Regulatory Authority has launched a free searchable database of disciplinary actions against brokers. According to Financial Advisor online magazine, users can search for actions by case number, document text and action date, individual name and CRD number or CRD number and firm name. Documents can be viewed online, printed or downloaded as [...]
Clients Cashing Out Investments
November 17, 2010 By Leave a Comment
Many average sized clients are still struggling with their finances and trying to deal with a smaller paycheck or temporary loss of income. Financial advisors are trying to help their clients by liquidating some investments to make it through to the New Year. Clients are thinking less and less about how much they need to [...]
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