Market corrections have typically occurred at least once a decade. This is significant because although we have had a bull market for several years now, this trend will likely not last much longer.
Tagged with "ETFs"
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The Benefits of Purchasing ETFs to Protect Against a Market Plunge
Posted on October 2nd, 2018 at 10:07 AM
13 Firms Fined for Communicating F-Squared’s False Performance Claims
Posted on September 23rd, 2016 at 12:36 PM
The Securities and Exchange Commission has issued penalties against 13 investment advisory firms found to have violated securities laws by spreading false claims.
World Equity Group Is Charged for Failing to Supervise Sales of Risky Investments
Posted on February 27th, 2015 at 12:42 PM
FINRA has accused World Equity Group, an Illinois based brokerage firm, of failing to supervise the sale of non-traditional Exchange Traded Funds (ETFs), failing to properly document due diligence performed on private placements.
First American Securities Charged for Failing to Supervise Brokers
Posted on February 24th, 2015 at 11:47 AM
First American Securities, Inc., an Ohio-based brokerage firm, was fined by FINRA for failing to implement, maintain and enforce a proper supervisory system.
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