Personal Finance Advice and Commentary

Friday, October 02, 2015 4:16 pm
By Dr. Don Taylor ·

NASAA is proposing model legislation to protect vulnerable adults from financial exploitation.

Wednesday, September 23, 2015 2:15 pm
By Sheyna Steiner ·

The Financial Industry Regulatory Authority tries to pull the weeds out of the broker garden, but more sprout up than it can handle.

Tuesday, September 22, 2015 6:05 am
By Dr. Don Taylor ·

The Financial Industry Regulatory Authority has proposed a rule that would help the companies it regulates do more to protect seniors and other vulnerable adults from financial abuse.

Monday, January 27, 2014 4:00 pm
By Sheyna Steiner ·

IRA rollovers are a big business. Investors can’t always believe the hype, according to the regulator FINRA.

Wednesday, October 30, 2013 6:05 am
By Judy Martel ·

Being famous provides no protection from being ripped off by a financial broker.

Monday, July 09, 2012 11:18 am
By Sheyna Steiner ·

Investment recommendations must be in the best interest of the client — that does not mean the option with the least fees.

Monday, March 21, 2011 2:01 pm
By Jennie L. Phipps ·

My husband and I have been interviewing financial advisers. We were just about to make a decision when we ran the names of the two top contenders through FINRA BrokerCheck. FINRA is an acronym for the Financial Industry Regulatory Authority, a voluntary association that oversees about 630,820 registered securities representatives. Anyone can use BrokerCheck to