Month: April 2012
Not All ETFs Invest The Way You Would Think
According to Casey Research, some exchange-traded funds now on the market have misleading names that don’t reflect their true makeup....
Morgan Keegan in trouble again….
The Labor Department recently entered into a settlement with Morgan Keegan & Co. Inc., following an investigation revealing that the...
OpVest Sanctioned by NFA Over Commissions
National Futures Association (NFA) has levied a $75,000 fine against Option Investments, Inc. (otherwise known as OpVest), a Commodity...
FINRA U-5 Expungement Procedure Updates
FINRA is currently requesting comment on proposed new rules that would permit persons who are the “subject of” allegations of sales...
Radio Personality, Financial Advisor, Charged With Fraud
It is being reported that well-known financial advisor, Matthew D. Hutcheson, was recently indicted on federal charges that he used...