When you’re determining what types of stocks to invest in, you might turn to a company’s financial statements to help guide your decision. However, some unethical companies may manipulate their financial information, giving you a less than complete picture of a...
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New rules from FINRA designed to protect elderly people
Pennsylvanians who trust financial firms with their money and investments rely on the Financial Industry Regulatory Authority (FINRA) to protect them from possible misdeeds committed by the companies and people who work there. Although many are aboveboard with their...
Common ERISA violations that hurt Pennsylvania workers
Everyone deserves to be paid for the work that they perform. Unfortunately, many workers suffer wage-related harm from their employers when they are subject to violations of the Employee Retirement Income Security Act, also known as ERISA. When an ERISA violation...
Insider trading is not a victimless offense
Insider trading is, basically, using one’s access to privileged information as a means of making money at other’s expense. More specifically, an investor engages in insider trading when she uses business or financial information that is not available to the general...
Broker suspended and fined for settling customer complaint
Because it is difficult to take dive right into an investment opportunity, many individuals in Pennsylvania and elsewhere will use a financial advisor to guide them through the process and discuss with them what options they have. Taking this step causes a person more...
SEC: Fraudulent PA operation raised nearly $500M from investors
A smart investment can be a good way to shore up retirement savings or provide some extra financial security. Considering the sums of money often involved, this requires real trust. You must believe the money will be used for the stated purpose, and that the risks...
Long-term disability denials and appeals under ERISA
Many Pennsylvanians are offered long-term disability as an optional employer-provided benefit. When people have long-term disability insurance through their jobs, their benefits plans are covered by the Employee Retirement Income Security Act. Plans that are covered...
Financial brokers must consider benefits for clients
A new Securities and Exchange Commission regulation will require financial broker-dealers in Pennsylvania and around the country to raise the bar of ethics and legal standards when working with their clients. Brokers must consider the needs and benefits of their...
Securities law and dealing with fraudulent investment vehicles
Investors take risks when putting their money into certain companies. While some endeavors are riskier than others, entirely escaping risk can be nearly impossible when directing funds into private companies. Investors should, however, expect investment entities to...
Public discipline imposed on CFP® professionals
Residents of Pennsylvania might want to read this posting regarding several CFAs that have had disciplinary action taken upon them by the Certified Financial Planner Board of Standards, Inc. (CFP Board). They were from several states, however, included among them was...
