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Jul 7th, 2017
After a long, checkered career, Clay Hoffman has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). According to FINRA, Mr. Hoffman […]
Jul 6th, 2017
It’s really pretty simple. There are two types of investment accounts, accounts where the advisor has to ask permission before placing trades (non-discretionary) and accounts where […]
Mar 12th, 2017
Most financial advisors claim that they put their investors’ interests first but, all too often, customers are a distant second place to an advisor’s own interests. […]
Feb 9th, 2017
The Financial Industry Regulatory Authority (FINRA) censured and fined Dougherty & Company after one of its “top producers” allegedly ripped off elderly investors by executing hundreds […]