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Monthly Archives: June 2013
10 posts
Before 2008 a real, real estate market did not exist. Americans are not dumb, but due to misleading information about the real estate market they made predictably bad mortgage decisions. Banks and only banks control/led leverage in two ways. The […]
Fiduciary Liability Exposure Checklist Pitfalls for Attorneys, Business Managers and CPAs Providing investment advice to clients whether or not you receive compensation Drawing the line between investment advice and legal, financial or tax advice Serving as trustee to accomodate a […]
In September 2005 S&P (Standard & Poor’s) issued “Who will be left holding the bag?” in what would turn out to be a prescient report about the housing market and mortgage backed securities. Around the same time certain investment banks […]
HFT (High frequency trading) and the continuing SEC debate requiring a uniform fiduciary standard of care pose two potential strikes against trustees of family and charitable trusts, Pension (Corporate, Union and State, County and City Public Employees) and 401k plans, […]
The Uniform Prudent Investor Act was adopted by the Uniform Laws Commission in 1994 and since then has been adopted into law by 43 states, some states already had similar statutes prior to 1994. Trusts are governed by UPIA […]
Individual and institutional investors often approach Gold, Silver, Platinum, Palladium or Rare Earth minerals for many of the same reasons and with similar expectations but wind up with vastly different results and sometimes dramatic losses. What happens in the metals […]
FINRA arbitration is generally mandatory for investors with losses in individual investment, IRA, pension, trust or institutional prime brokerage accounts. Claims for breach of fiduciary duty, suitability, failure to supervise are frequent. Chris McConnell, AIFA® Fiduciary Expert brings over 30 […]
Philanthropist and socialite Brooke Astor, 105, passed away in 2007. Her now 89 year old son (but not Vincent Astor’s son) Anthony Marshall , the court found used undue influence to gain access to and loot her $200 million estate. […]
The picture is a diagram of the US Shadow Banking System produced by the New York Fed in 2009/10. It is important to note, a handful of the largest, most sophisticated American banks, largely in the Federal Reserve district east […]