Month: July 2009
Understanding Mutual Fund Classes (A shares, B shares, C shares)
As an investor, you may have read about “Class A,” “Class B,” Class C,” or other classes of mutual fund...
FINRA Fines Merrill Lynch and UBS for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc....
Variable Annuity Exchanges- Are they suitable?
Investor Alert – Variable Annuity Exchanges Have you been approached by your financial advisor to exchange the annuity or policy for...
New Listing on Dmegs.com
Dmegs Web Directory...
William Joseph Boyle barred from industry
In May 2009, FINRA announced that William Joseph Boyle, a financial advisor for Citigroup and Legg Mason Wood Walker in Pennsylvania and...
Jordan Paul Zaro, formerly of Riverside Securities, Inc. in Chicago, Illinois, named as a respondent in a FINRA complaint.
In May 2009, FINRA announced that Jordan Paul Zaro, a financial advisor that worked at Riverside Securities, Inc. from 1991 through 2009,...
