Understanding fees and costs associated with mutual funds: What are the fees and costs associated with purchasing, owning and selling mutual funds. The purpose of this post is to provide the reader with general comments on this subject. Please be advised that this information is being provided for educational purposes…
Articles Posted in Investment Terms and Concepts
How to Buy and Sell Mutual Funds – Palm Beach County, Florida FINRA Arbitration and Litigation Attorney
How to buy and sell mutual funds This post is designed to provide the reader with information relative to the methods that an investor might pick to buy and sell mutual fund shares. This information is being provided for educational purposes only. It is not designed to be complete in…
Benefits and Risks of Mutual Funds – Florida FINRA Arbitration and Litigation Attorney
What are some of the benefits and risks of mutual funds? The purpose of this post is to provide the reader with a general description of certain risks and rewards associated with investing in mutual funds. Please keep in mind that this information is being provided for educational purposes only…
Mutual Fund Types – South Florida Broker/Dealer Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney
Types of mutual funds. Generally, there are a few basic types of mutual funds that are available for the members of the general public to invest in. The purpose of this post is to provide general information relative thereto. This post is being provided for educational purposes only. It is…
Mutual Funds – Why Do People Buy Them? Florida Broker Misconduct FINRA Arbitration Attorney
Mutual funds are a common vehicle in today’s investment world. Here are a few reason why People buy them. However, please keep in mind that this information is being provided for educational purposes only. Therefore, it is not designed to be complete in all material respects. Thus, it should not…
Broker/Dealer Securities Fraud, Mismanagement, and Negligent Supervision FINRA Arbitration and Litigation Attorney
Bid and Asked and Bid-Asked Spread: The purpose of this post is to provide the reader with a general description of the terms “bid and asked” and “bid and asked spread.” This post is being provided for educational purposes only. It is not designed to be complete in all material…
Firm Commitment – Best Effort Offerings: South Florida Securities and Investment Fraud and Mismanagement Attorney
Firm Commitment – Best Effort Offerings: The purpose of this post is to provide the reader with a general understanding of what the difference is between a firm commitment and a best efforts offering of securities to the public. This information is being provided for educational purposes only and is…
Financial Planner Fraud, Negligence and Breach of Fiduciary Litigation and FINRA Arbitration Attorney
Financial Planner: A financial planner is a professional who compiles and analyzes personal financial data and prepares a a proposed program to meet the financial needs and objectives of his client. The purpose of this post is to provide the reader with a general description of the type of individuals…
Broker – Dealer Recommendations – Boca Raton, Florida Broker Misconduct, Negligence and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Formal Broker/Dealer Recommendations: How does your account executive decide what securities to recommend to you? What factors does your account executive take into consideration in making buy, hold or sell recommendations to you? These are simple questions. However, the answer could have a significant impact on the profitability of your…
Basic Types of Stock Options – Broker Dealer and Investment Advisor Negligence and Misconduct FINRA Arbitration and Litigation Attorney
Basic Types of Options: July, 2012: There are varied terms and concepts that relate to option trading activity. Here are a few. However, please keep in mind that the purpose of this post is to provide the reader with general information concerning this information. Remember that the information provided herein is not…