Category: Investor Education

When it comes to resolving a securities dispute between investors and brokers, it’s essential to be aware of the dispute resolution options available.  FINRA arbitration is one of the most popular, non-judicial forms of resolving a securities dispute. However, from the perspective of an investor, what are the alternatives—if any—to opting for binding arbitration? Read […]

Financial investments are big life decisions. When you decide to put your money in securities or bonds, you likely have a plan for things like your children’s college fund, a retirement account, growing an inheritance, and so on.  As such, it’s important to do your due diligence when selecting the financial advisor you work with. […]

Reported instances of broker theft out of customer accounts are on the rise, and the move to all-online access to brokerage accounts and transactions may be making it easier for unethical financial advisors to act. So what can you do to reduce the chances that your financial advisor has access to your outside bank accounts, […]

Hedge funds can be a great investment opportunity for certain investors. But they are also quite risky. And if you can’t afford to absorb that risk, you shouldn’t be investing in hedge funds. Unfortunately, many financial advisors and stockbrokers fail to take their investors’ priorities into account and will recommend investment in hedge funds to […]

Louis Kreisberg (CRD#: 1352881) is a previously registered Broker at Wavecrest Securities, LLC in Brentwood, TN. He entered the securities industry in 1985 and previously worked for Pickwick Capital Partners, LLC; Trump Securities, LLC; Joseph Capital, LLC; United Planners’ Financial Services of America A Limited Partners; John Hancock Mutual LIfe Insurance Company; John Hancock Distributors, […]

The last thing you ever expect is to suffer massive financial losses after investing in mutual funds. Every investment has some risk, but if you suffered losses, you may be able to recover them in arbitration before the Financial Industry Regulatory Authority (FINRA). However, you can only win your complaint if you can show to […]

An investment made in asset classes that aren’t stocks, bonds, or cash are considered alternative investments. Not all investors are a good fit for alternative investments, and there are many types of alternative investments for investors to choose from. Unfortunately, just because your stockbroker recommends alternative investments doesn’t mean they’re the right option for you […]

The job titles of a Financial Advisor and Investment Advisor, in reality, more accurately describe the kind of work that’s done, not necessarily the credentials and obligated professional standards of the person doing it. People who perform financial advising and investment advising services may be registered Brokers and registered Investment Advisors or they might not. […]

While some investors choose to develop an investment portfolio because they enjoy the challenge of navigating the ups and downs of the stock market, others rely on theirs for financial growth and future security. And even though financial advisors typically tend to the day-to-day handling of customer accounts with the clients’ best interests in mind, […]

Variable annuities are essentially mutual funds packaged and marketed as insurance products. While they may be appropriate for some investors, the potential benefits may not outweigh the risks. These investments are popular because policyholders don’t typically pay taxes on their earnings right away, their beneficiaries receive a death benefit, and withdrawals can stand in for […]