Android Advisor – May 2023
General:
Name: Android Advisor – May 2023
Format: pdf
Size: 72.85 MB
Book:
Title: Brokers, Financial Advisors and Insurance Agents: An Investigative Process – the Book that Some May Not Want Their Clients to Read
Author: Stephen Stellhorn
Language: angielski
Year: 2013
Subjects: Business, Reference, Law, Business – General & Miscellaneous, General Reference, Personal Finance & Investing, General & Miscellaneous Law, Commercial & Financial Law, Corporate Behavior & Responsibility, Lawyers & the Legal Profession, Business Ethics, Professional Responsibility & Legal Ethics, Securities & Finance Law, Consumer Guides, Personal Finance – General & Miscellaneous, Consumer Guides * General, Personal Finance * General
Publisher: CALMSEASMEDIA
ISBN: 8371250126
Total pages: 104
Description:
White Collar Financial Crimes against Investors on the Rise!
Bernie Madoff’s Ponzi scheme, financial scams and frauds, financial abuse of the elderly, fiduciary standards, investigation of financial advisor backgrounds and professional designations for advisors and insurance agents. Business cards which look like alphabet soup will all the designations after their name. Some advisors/agents have little or no business ethics, morals or integrity in regard to the clients they work with. The challenges which face investors in finding someone they can trust are daunting at times. What can investors do?
Consider these facts:
• According to SEC statistics, the agency filed 147 enforcement actions against advisors and investment companies in 2012. This was one more than the record set in 2011.
• According to FINRA statistics, in the five years from 2008 through 2012, investors filed 19,444 complaints against brokers/financial advisors.
• The North American Securities Administrators Association (NASAA) reported that enforcement actions at the state level against brokers and advisors nearly doubled in 2012.You’ve worked hard to build your retirement nest-egg. Whether that amount is $25,000 or $10,000,000 you want to develop a relationship with someone you can trust and has high business ethics and morals. How well do you know the individual you’re working with now?
Who might benefit from the information and tools contained in this book?
1. You’ve been the victim of a securities/insurance crime in the past yourself.
2. You’re having bad experience working with a broker, financial advisor or insurance agent now.
3. Your parents had a bad experience and you want to avoid going through it.
4. You know someone who has been a victim of a financial crime.
5. You don’t know who you can trust.
6. You’re curious about the background of the person you’re working with now.
7. You want a comprehensive guide with relevant resources easily accessible at you fingertip.How do I investigate my Broker, Financial Advisor or Insurance Agent?
Can I protect myself from predatory individuals who work in the securities and insurance industries? Licensed registered representatives and investment advisor representatives go by many names such as brokers, financial advisors, financial planners, financial consultants, wealth managers and insurance agents. If they’re licensed or have been licensed then they are in the SEC and/or FINRA databases. In a little as 5 minutes you can get access to certain types of information about them including:
• Broker Qualifications
• Registration History
• Disclosure Events
• FINRA Exams Passed
• Employment HistoryNever forget; it’s your money. Make sure the individual you entrust it with is worthy of your trust and confidence.
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