In June 2019, the FINRA Investor Education Foundation released, “The State of U.S. Financial Capability: The 2018 National Financial Capability Study” (or “The NFCS”), which included some key information for the average American investor. In part two of this two part series on the FINRA study, we will delve into why it is vital to use financial knowledge directly with decision-making, as well as some statistics on where the nation stands as a whole.
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.