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Does FINRA Deliver the Right Information to Investors? FINRA, which stands for Financial Industry Regulatory Authority, is the watchdog that regulates 3,895 broker/dealers and 641,761 registered representatives. FINRA/BrokerCheck is your best online resource for viewing the compliance records of financial
Let’s assume you have an IRA and your assets are being invested by a financial advisor. Your advisor notifies you he can no longer recommend investments for your IRA because he is not a financial fiduciary. This means your advisor
Good Advertising Tells The Truth As soon as I say the word “advertising,” I know many of you are going to tune out. The same way you fast-forward the DVR, change the station or curse that ad popping up on
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