Tag Archives: consumer right

Investopedia Top 100 Most Influential Financial Advisor Honor

Honored to be named by Investopedia as one of the Top 100 Financial Advisors for 2019. Unlike a lot of other “top” lists, Investopedia bases its selection largely on criteria such as contributions to online media to educate investors on … Continue reading

Posted in Active Management Value Ratio, AMVR, Consumer Protection, Consumer Rights, Fiduciary, Investor Protection, Life Advice, Portfolio Construction, portfolio planning, Retirement Distribution Planning, Retirement Planning, Wealth Accumulation, Wealth Distribution, Wealth Management, Wealth Preservation | Tagged , , , , , , , , , ,

Setting the Record Straight on Asset Allocation

One of the “dirty little secrets” of the investment industry is to deliberately misrepresent the findings of a study on the importance of asset allocation. The study, commonly referred to as the BHB study after the three gentleman who conducted … Continue reading

Posted in Absolute Returns, Asset Protection, Consumer Protection, Fiduciary, Fiduciary Standard, Investment Advice, Investment Advisors, Investment Fraud, Investment Portfolios, Investor Protection, Portfolio Construction, portfolio planning, Portfolio Planning, Retirement, Wealth Management, Wealth Preservation | Tagged , , , , , , , , , , , , , , ,

InvestSense’s Comments on SEC “Best Interest” Proposal

The Securities and Exchange Commission is currently seeking public comments on its “Best Interest” (BI) proposal. The proposal would reportedly provide a standard of conduct for anyone providing financial services to the public.  The standard would supposedly protect investors from … Continue reading

Posted in Best Interest Proposal, Best Interests, Consumer Protection, Consumer Rights, Fiduciary, Fiduciary Standard, Investment Advice, Investor Protection | Tagged , , , , , , , , , ,

The New DOL Fiduciary Rule – Effective June 9, 2017

On June 9, 2017, the Department of Labor’s (DOL) new fiduciary rule (Rule), or at least parts of same, go into effect for retirement plans covered by the Employees’ Retirement Income Security Act, commonly known as ERISA. The Rule was … Continue reading

Posted in Best Interests, Common Sense, Consumer Protection, Consumer Rights, DOL fiduciary rule, Equity Indexed Annuities, ERISA, Fixed Indexed Annuities, Investment Advice, Investment Portfolios, Investor Protection, IRA, pension plans, portfolio planning, Retirement, Retirement Plan Participants, Retirement Planning, Variable Annuities, Wealth Accumulation, Wealth Management, Wealth Preservation | Tagged , , , , , , , , , , , , , , , , , , , , ,

Wells Fargo, Bank Cross-Selling and Your Right to Privacy

By now, most people are familiar with Wells Fargo and the illegal activities they engaged in by creating fictitious accounts to misrepresent their financial operations. What Wells Fargo did is wrong for a number of reasons, including inflating the price … Continue reading

Posted in Asset Protection, Consumer Protection, Consumer Rights, Investment Advice, Investor Protection, Life Advice, Right to Privacy, Variable Annuities, Wealth Management, Wealth Preservation | Tagged , , , , , , ,