Category: Brokers

Regulators Focus on Frauds Targeting Seniors

By Lisa Gerstner From Kiplinger’s Personal Finance Andrew Hartnett, deputy commissioner of the Iowa Insurance Division and president of the North American Securities Administrators Association (NASAA), explains how to best protect vulnerable seniors. Question: Protecting seniors from fraud and exploitation is part of NASAA’s mission. What types of scams are targeting seniors lately? Answer: States…


Eight FAQs With Securities Litigation: Attorney Nick Oberheiden

Corporate executives and other individuals who find themselves being investigated for securities violations are bound to have serious and pressing questions that need answers right away. The penalties for a securities violation are steep. They can carry substantial civil and even criminal liability, and can imperil your professional future if you are a securities professional…


Rethink Avoiding Your Agent to Sell Directly to a Friend

DEAR MONTY: I am selling my home through an agent, and I verbally agreed to a price from a guy who lowballed by over half the asking price. The guy is nitpicking everything and taking forever, so I have signed no papers. Now I have another offer through a personal friend. I want to know…