FINRA Watchdog on Private Placements

Author: LPclient

FINRA will be watching sales of private placements by broker-dealers more carefully, all in the pursuit of customer protection.   For a free case evaluation or to discuss any other investment losses, please contact the Securities Law Firm of Menzer & Hill, P.A., at 888-923-9223, or visit us on the web at

Requesting Higher Yield on Your Portfolio? Proceed With Caution.

Author: Michael Hill

In today’s low interest rate environment retirees and soon-to-be retirees, on fixed income, often try to get more interest and yield in their retirement nest eggs. ┬áThese investors should be wary when asking their broker or financial advisor to find investments that have higher interest or dividend rates. ┬áThe compliant broker may look for suitable… Read more »