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Articles tagged with: Investment Adviser

[15 Mar 2011 | No Comment | 4,063 views]
Video: How can investors review the background of a stockbroker or investment adviser?

In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers and/or financial advisors.

[31 Jul 2009 | No Comment | 1,826 views]

From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg:
Earlier this week, The Wall Street Journal reported that while the four major Wall Street brokerage firms experienced an outflow of $8 billion of assets in 2008, Registered Investment Advisers brought in more than $108 billion in new assets during the same period. This activity likely reflects a shift in investor preference from transaction-based broker relationships to fiduciary relationships.
Investors generally choose to have their financial affairs handled by someone they …