Articles Posted in Blog

Artificial Intelligence (AI), as it develops capabilities far beyond ‘program trading’ has the potential to greatly impact the world of investing in the stock market. In the past decade, technology has advanced greatly, leading to its use in a wide range of industries, including finance. While there is still some uncertainty about how AI will…

As the popularity of environmental, social, and governance (ESG) investing booms, the SEC continues to make its support clear. In fact, this past Wednesday, July 28th, SEC Chair Gary Gensler spoke at length on the regulator’s ESG and climate risk disclosure plans as part of a Principles for Responsible Investment (PRI) event. The PRI is…

On June 30, 2021, FINRA ordered an approximately $70 Million financial penalty against Robinhood Financial LLC, the highest such penalty ever levied by the regulatory organization.[1] Through its investigation of the firm, FINRA charged Robinhood with numerous violations which had resulted in significant losses to their customers. While Robinhood neither confirmed nor denied the validity…

Did you know that Bernie Madoff stole $20 billion dollars before he was caught? How did he do it? Well, people gave it to him. Madoff was the leader of an elaborate Ponzi scheme that allowed him to take people’s life savings and destroy them for his gain. Unfortunately, most of the people who gave…

Investing in international assets is a great way to diversify and strengthen your portfolio. A healthy assortment of international security assets can set you up for long term success and aid your investments in weathering market volatility. Investing in internationally-based assets is made possible through the use of American Depositary Receipts (ADRs). An ADR is…

This year has seen some major ups-and-downs in the stock market. While fluctuations have been relatively small, their repetitive nature is significant. For instance: you may not have noticed on the average day if the S&P 500 ended 1% below its intraday high or 1% above its intraday high, but now consider that it has…

While the stock market has been booming in recent years, 84% of stocks are held by 10% of the population. Despite this fact, there are millions of Americans that hold on to stocks and are no less susceptible to stock fraud than anyone else. Stock fraud can hit investors of all types, most especially those…

You trusted your stockbroker with your hard-earned money. And it seemed like a great arrangement…at first. Now, you’re worried that your stockbroker is committing fraud with your investments. You’re not alone. In 2017, 66,873 cases of securities fraud and theft were reported to the United States Sentencing Commission. If you think your broker is committing…

As an investor, you want someone to protect you and maintain a fair and orderly stock market, right? That’s the role of the Securities and Exchange Commission or the SEC. Whether it be your retirement savings, accounts to pay for college tuition, or investments just to build wealth, the SEC is there to make sure…

Understanding Index Funds There’s a lot of ways you can get involved in securities investing. Some of the most popular methods are through the use of what are called index funds. An index fund is a type of mutual fund that tracks the performance and returns of a market index. You are probably familiar with…