Complaints Against Financial Advisors



  complaints against financial advisors: What Your Financial Advisor Isn't Telling You Liz Davidson, 2016-01-05 Protect your money with this “accessible and practical” guide to hiring and working with financial advisors (Publishers Weekly, starred review). Hiring a trained expert to safeguard and grow your wealth seems like a foolproof decision, but it can go awry for many people. You should never blindly trust that your advisor has your best interests at heart—and while there are many benefits to working with a financial pro, there are some things you should know first. Drawing on her insider’s knowledge of how the financial advice profession really works, Liz Davidson shows how to judge whether an advisor is going to help or harm your savings. This no-nonsense guide covers questions such as: How should you decide if you really need an advisor? What financial moves can you make without their help? What important questions should you ask before trusting them with your money? What are the red flags you should run from? What does all their jargon really mean? Learn how to take control of your financial well-being—either with a financial advisor or without one. “This book is mandatory reading for anyone who wants a better understanding of how to manage their money.” —Mary Beth Franklin, InvestmentNews “Valuable tools for managing one’s personal finances for maximum results.” —Publishers Weekly, starred review
  complaints against financial advisors: The Good Financial Advisor Dennis Morin, 2008-08 The Good Financial Advisor Nearly everyone dreams of achieving financial independence, the culmination of wealth accumulation that allows us to work because we want to, not because we have to. And everyone deserves a chance to realize their dreams. You can attempt to reach financial independence on your own, a difficult but doable task, filled with rewards when successfully completed. Or, you can choose to use the services of a competent, experienced and ethical professional, a person I call the Good Financial Advisor, who can be your guide on the journey. This book is written for those who want to use the services of the Good Financial Advisor, but need help in finding and working with the right person. If you are ready to find your Good Financial Advisor and begin the journey to financial independence, read on and prepare for a change in your life. With this book, you will now have the ability to understand the world of financial services and financial advisors in order to achieve the goals important to you. A wonderful and financially secure future awaits you. Dennis L. Morin is a Certified Financial Planner(R) who runs his own financial services business in CT. He has over 20 years experience in finance and investing, and spent ten years in corporate finance prior to starting his own business. The financial planning profession is his passion.
  complaints against financial advisors: Immediate Cash from Safe Investments James F. Tucker, 1995-10-24 The only book the beginning investor needs! Whether your goal is buying a house, financing a college education, saving for retirement, or providing a second income, this book can show you how. Tucker introduces the new investor to key terms and topics, offers proven strategies for investing as little as $50 a month, and provides options for immdiate cash returns or long-term growth.
  complaints against financial advisors: The Ombudsman, Good Governance, and the International Human Rights System Linda C. Reif, 2004-01-01 In addition to the ombudsman community this book will be of interest to practitioners, academics, students and others in the fields of international law, international and domestic human rights law, comparative law, political science and public administration.
  complaints against financial advisors: "ABOUT YOUR FINANCIAL MURDER…" Larry Elford, 2017-09-19 How Trusted Professionals Get-Away With Around Half Of Your Life's Savings America is not going insane It is living in pain Herein are a few causes of that pain. Here are the people who play financial games above our laws. The organizations that can drain the economy of the cost of a Category 5 Hurricane...repeatedly. Those who harm our shared society as much or more than every other criminal offense in the land...combined. This book tells why many North Americans can not only no longer have nice things. Some can no longer even have nice dreams. Many will grow up in a disturbed nation, without even knowing where their retirement security went...nor where the nation's economic prosperity went. A glimpse within some of the greatest economic drains in the land, all of which are done invisibly by professionals. Professionals that society once could trust.
  complaints against financial advisors: Ryan M. Jindra and Envision Investment Advisors, LLC, defendants, and Envision Financial Group, Inc., relief defendant: Securities and Exchange Commission Litigation Complaint ,
  complaints against financial advisors: Consumer Finance Alicia Puente Cackley, 2011-04 Consumers are increasingly turning for help to financial planners (FP) individuals who help clients meet their financial goals by providing assistance with such things as selecting investments and insur. products, and managing tax and estate planning. This report examines: (1) how FP are regulated and overseen at the fed. and state levels; (2) what is known about the effectiveness of this regulation; and (3) the advantages and disadvantages of alternative regulatory approaches. To address these objectives, this report reviewed fed. and state statutes and regulations, analyzed complaint and enforcement activity, and interviewed fed. and state gov't. entities and org. representing financial planners, and consumers. Illus. This is a print on demand report.
  complaints against financial advisors: Face Your Money Fears Oraynab Jwayyed, 2022-08-07 With a little commitment and persistence, it’s possible to gain the financial freedom and peace of mind you’ve been seeking. In Face Your Money Fears, author Oraynab Jwayyed shows you how to navigate the world of money, finance, and politics. She offers a compilation of essays published online when she first started working as a financial literacy consultant. Relying on personal and professional experiences, the essays tackle the everyday challenges families face as they run their households and manage their finances within the political challenges of the time. As a bonus, Ms. Jwayyed offers an eight-step guide to financial health to help you get back on your feet and manage your money on your own terms. While the essays focus on the advancement of women in the workforce, she believes in including the men to create an equitable environment where both genders can thrive together.
  complaints against financial advisors: How to Be Good With Money Eoin McGee, 2020-03-20 Do you want to know: How best to spend the money you have? How best to get out of debt? How to start saving for the things that matter to you How to look after your financial future? How to retire early? Join author, TV host and financial planner Eoin McGee, as he shares his complete programme for financial well-being in this life-changing book. By discovering the rules of spending and saving, you can feel safe in the knowledge that your money will support the life you want to live. Whatever your budget, you can create a solid financial plan, allowing you to rest assured that the future is well looked after.
  complaints against financial advisors: OECD Pensions Outlook 2016 OECD, 2016-12-05 The OECD Pensions Outlook 2016 assesses policy issues regarding strengthening pension systems and, in particular, funded pension plans.
  complaints against financial advisors: Goal! the Financial Physician's Ultimate Survival Guide for the Professional Athlete Mitch Levin, 2013-02 The Financial Physician has struck again! Best selling author, speaker and trusted advisor has collaborated on yet another blockbuster. Within this book you will learn how to never be poor, achieve full financial health and live a prosperous life.
  complaints against financial advisors: Getting Started in A Financially Secure Retirement Henry K. Hebeler, 2007-07-20 PRE- AND POST-RETIREMENT PLANNING THAT MAKES SENSE GETTING STARTED IN A FINANCIALLY SECURE RETIREMENT If you want to make the most of your retirement years, you have to seriously think about the retirement lifestyle you want and the path that will get you there. In order to do this, you need reliable retirement information that will allow you to properly chart your course. Nobody knows this better than author Henry Hebeler, who retired from the corporate world more than fifteen years ago--and quickly discovered that much of the retirement planning advice available wasn't helping people accomplish their goals. Now, with Getting Started in a Financially Secure Retirement, Hebeler shares his experience in this field with you and reveals what it really takes to achieve the retirement you want. Written in a straightforward and accessible style, Getting Started in a Financially Secure Retirement dismisses the assumptions that many popular retirement planning methods make and addresses some of today's most important retirement issues, including everything from planning with realistic economic inputs to neglected subjects such as replacement budgeting, reverse dollar cost averaging, and the need for resiliency when encountering surprise events. Filled with in-depth insights, practical advice, and helpful retirement planning tools, Getting Started in a Financially Secure Retirement will allow you to apply Hebeler's proven principles to your own specific situation--whether you're already retired or still working--and make more informed financial decisions as you plan for the years ahead.
  complaints against financial advisors: Investment Planning Geoffrey A. Hirt, Stanley B. Block, Somnath Basu, 2010-06-13 In Investment Planning, two of the best-known authors in the investment planning field, Geoffrey A. Hirt and Stanley B. Block, have joined forces with finance expert, Somnath Basu, to show financial planners how to successfully manage their clients' investments consistent with their personal objectives and levels of risk tolerance. This landmark book carefully explains the essential theory required to understand how financial markets work_and describes step by step how best to diversify and balance a portfolio of investments to reduce risk and increase expected returns. Ranging from fixed-income securities, common and preferred stock, and mutual funds...to options, futures, derivatives, and other investment vehicles, Investment Planning cuts through the complexities of today's burgeoning financial landscape with clear, concise accounts of: Types and uses of investment vehicles Types of investment risk Measures of investment risk Measures of investment returns Time-influenced security valuation concepts Bond and stock valuation methods Portfolio management and measurement concepts Formula investing Investment strategies Asset allocation and diversification EMT Asset pricing models Leverage of investment assets Hedging and option strategies Tax efficient investing Investment strategies in tax-advantaged accounts Taxation of investment vehicles An excellent resource for preparing for the Certified Financial Planner (CFP) exam, this comprehensive reference also includes real-world case studies and listings of investment websites in each chapter_plus a broad array of at-a-glance charts and tables. Authoritative and completely up-to-date, Investment Planning now offers professionals all the tools, techniques, and guidance they need to seize new opportunities in the financial marketplace and maximize returns on their clients' investments!
  complaints against financial advisors: Financial Crisis and the Failure of Economic Theory Jorge Turmo Arnal, 2015-10-06 The global financial crisis of 2008 was largely unpredicted. If economic theory has a role to play in predicting future catastrophes then the methods we rely on need to change. The authors of this study propose a new theory of economics based on more detailed understanding of how and why people behave as they do within their environment. This anthropological approach uses the strengths of many existing economic theories, including Keynesian and Austrian economics, to present a new framework for anticipating and averting the financial crises of the future.
  complaints against financial advisors: Regulation of Financial Planners in the 1980's , 1985 Prepared for distribution at the Regulation of Financial Planners in the 1980's Program, December 2-3, 1985, New York City--p. 5.
  complaints against financial advisors: Success as a Financial Advisor For Dummies Ivan M. Illan, 2018-12-06 A must-have reference for financial advisors In step-by-step detail, Success as a Financial Advisor For Dummies covers how a current or would-be financial advisor can maximize their professional success through a series of behaviors, activities, and specific client-centric value propositions. In a time when federal regulators are changing the landscape on the standard of care that financial services clients should expect from their advisors, this book affords professionals insight on how they can be evolving their practices to align with the regulatory and technological trends currently underway. Inside, you’ll find out how a financial advisor can be a true fiduciary, how to compete against the growing field of robo-advisors, and how the passive investing trend is actually all about being an active investor. Additionally, you’ll discover time-tested advice on building and focusing on client relationships, having a top advisor mindset, and much more. Master the seven core competencies Attract and win new business Pick the right clients Benchmark your performance Start your own firm Brimming with practical expert advice, Success as a Financial Advisor For Dummies is a priceless success tool for any wannabe or experienced financial advisor.
  complaints against financial advisors: Canadian Securities Exam Fast-Track Study Guide W. Sean Cleary, 2017-01-03 A concise and practical guide to preparing for the Canadian Securities Exam For anyone dreaming of a career in the Canadian finance industry, whether in banking, brokerage, financial planning, or mutual funds, passing the Canadian Securities Exam is the first step on the path to success. But there's a lot of material to know and almost everyone needs a helping hand. Thankfully, the Canadian Securities Exam Fast-Track Study Guide is the perfect quick-review tool covering all the basics you need to know. It includes quick hits of the key points in language that's straightforward and easy to understand. Fully updated to cover the latest topics added to the CSC curriculum, this is the perfect study guide for staying cool under pressure and getting the best score you can. An ideal way to prepare for the Canadian Securities Exam, this handy guide will have you fully prepped and ready to go in no time flat. An affordable, compact study guide that simply summarizes must-know information Features 400 sample questions, including multiple choice chapter review questions and two full practice exams, as well as cross-referencing to the CSC textbook Written by a professor of finance and the Director of the Master of Management in Finance program at Queen's School of Business, Queen's University Ideal for finance students who need a quick review of the vital information they need to pass the Canadian Securities Exam
  complaints against financial advisors: Singapore International Monetary Fund. Monetary and Capital Markets Department, 2013-12-05 This paper discusses the findings of the Detailed Assessment of Implementation on the International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation on Singapore. Overall compliance with IOSCO principles is generally high, although the assessors identified some vulnerabilities that need to be resolved. The Monetary Authority of Singapore’s (MAS) enforcement philosophy as regards securities markets and the financial intermediaries active therein is cogent, with outcomes focused and well developed. The Securities and Futures Act (Cap. 289) provides an effective framework to enable the sharing of information and cooperation between MAS and foreign regulators on supervisory and enforcement matters.
  complaints against financial advisors: Succession Planning for Financial Advisors, + Website David Grau, Sr., 2014-06-23 This book is going to challenge you and everything you think you know about succession planning. For independent advisors, succession planning is quickly becoming the cornerstone to a strategic growth strategy designed to perpetuate their business and their income streams beyond their own lifetime, while providing a multi-generational service platform that attracts and rewards younger advisors. This makes succession planning one of the most, if not the most, important practice management tools in this industry today. As an independent financial advisor, now is the time to address the question of what will happen to your practice and your clients after you “exit the building.” In most cases, the answers are right in front of you. Thankfully, Succession Planning for Financial Advisors: Building an Enduring Business has arrived to transform today’s practices into businesses designed to endure and prosper and serve generations of clients. Learn how to create a “Lifestyle Succession Plan” that can provide a lifetime of income and benefits to the founder even as he/she gradually retires on the job Unlock the power of equity management – the best planning and building tool an independent advisor owns Learn how to attract and retain the best of the next generation to help you build a great business and to support your succession plans and care for your clients and their families Determine precisely when to start a formal succession plan and related continuity plan so that your business can work for you when you need it most Understand why succession planning and selling your business are completely different strategies, but how they can complement each other when used correctly 95% of independent financial service professionals are one owner practices. To the positive, these practices are among the most valuable professional service models in America. But almost all advisors are assembling their practices using the wrong tools – tools borrowed from historically successful, but vastly different models including wirehouses, broker-dealers, and even OSJ’s and branch managers. Revenue sharing, commission splitting and other eat-what-you-kill compensation methods dominate the independent sector and virtually ensure that today’s independent practices, if left unchanged, will not survive the end of their founder’s career. It is time to change course and this book provides the map and the details to help you do just that. For independent practice owners and staff members, advisors who want to transition to independence, as well as accountants, attorneys, coaches and others involved in the financial services space, there are invaluable lessons to be learned from Succession Planning for Financial Advisors. Written by the leading succession planning expert in the financial services industry, former securities regulator, M&A specialist, and founder of the nationally recognized consulting and equity management firm, FP Transitions, David Grau Sr., JD, has created an unmatched resource that will have an enduring and resounding impact on an entire industry.
  complaints against financial advisors: Stock-market Psychology Karl Erik W‹rneryd, 2001-01-01 'Stock-Market Psychology gives an excellent overview of the state-of-the-art literature on this subject in the fields of economics, psychology and finance. . . a comprehensive overview of the behavior of investors in the stock market. As such, this book is valuable for the classroom. . . Stock-Market Psychology provides researchers with numerous ideas for future research and readers with useful and fun tips without taking away our hopes of ever becoming rich from investing in stocks. What more is there to ask from a book?' - Joost M.E. Pennings, Journal of Economic Psychology 'George Goodman (Adam Smith) once wrote, you can find out who you are by investing in the stock market, but it will be an expensive lesson. It is far smarter and cheaper to read Wärneryd's book instead. At a time when global stock markets are driven by emotions and passions, and are highly volatile, Chapter Six will tell you why, far better than a hundred analysts' reports.' - Shlomo Maital, TIM-Technion Institute of Management and the Samuel Neaman Institute for Advanced Studies in Science and Technology, Israel The rationale behind how people value and trade stocks is of unparalleled interest to governments, companies and other participants in stock markets. The book focuses on the way in which investors process information and form expectations about future gains. It argues that humans fall short of the perfect information processing required by theory, and that their expectations are based on more than just future company earnings.
  complaints against financial advisors: Review of the Results of Two Audits of the National Ecological Observatory Network United States. Congress. House. Committee on Science, Space, and Technology (2011), United States. Congress. House. Committee on Science, Space, and Technology (2011- ), 2015
  complaints against financial advisors: Understanding Alternative Investments S. Walker, 2017-02-10 Walker outlines the tools necessary to evaluate alternative investments and further diversify your portfolio using hedge funds, real estate, venture capital, gold and more. Using ground-breaking data on alternative investments, the author explores how to apply new risk measurements for building a portfolio with these investment vehicles.
  complaints against financial advisors: The White Coat Investor James M. Dahle, 2014-01 Written by a practicing emergency physician, The White Coat Investor is a high-yield manual that specifically deals with the financial issues facing medical students, residents, physicians, dentists, and similar high-income professionals. Doctors are highly-educated and extensively trained at making difficult diagnoses and performing life saving procedures. However, they receive little to no training in business, personal finance, investing, insurance, taxes, estate planning, and asset protection. This book fills in the gaps and will teach you to use your high income to escape from your student loans, provide for your family, build wealth, and stop getting ripped off by unscrupulous financial professionals. Straight talk and clear explanations allow the book to be easily digested by a novice to the subject matter yet the book also contains advanced concepts specific to physicians you won't find in other financial books. This book will teach you how to: Graduate from medical school with as little debt as possible Escape from student loans within two to five years of residency graduation Purchase the right types and amounts of insurance Decide when to buy a house and how much to spend on it Learn to invest in a sensible, low-cost and effective manner with or without the assistance of an advisor Avoid investments which are designed to be sold, not bought Select advisors who give great service and advice at a fair price Become a millionaire within five to ten years of residency graduation Use a Backdoor Roth IRA and Stealth IRA to boost your retirement funds and decrease your taxes Protect your hard-won assets from professional and personal lawsuits Avoid estate taxes, avoid probate, and ensure your children and your money go where you want when you die Minimize your tax burden, keeping more of your hard-earned money Decide between an employee job and an independent contractor job Choose between sole proprietorship, Limited Liability Company, S Corporation, and C Corporation Take a look at the first pages of the book by clicking on the Look Inside feature Praise For The White Coat Investor Much of my financial planning practice is helping doctors to correct mistakes that reading this book would have avoided in the first place. - Allan S. Roth, MBA, CPA, CFP(R), Author of How a Second Grader Beats Wall Street Jim Dahle has done a lot of thinking about the peculiar financial problems facing physicians, and you, lucky reader, are about to reap the bounty of both his experience and his research. - William J. Bernstein, MD, Author of The Investor's Manifesto and seven other investing books This book should be in every career counselor's office and delivered with every medical degree. - Rick Van Ness, Author of Common Sense Investing The White Coat Investor provides an expert consult for your finances. I now feel confident I can be a millionaire at 40 without feeling like a jerk. - Joe Jones, DO Jim Dahle has done for physician financial illiteracy what penicillin did for neurosyphilis. - Dennis Bethel, MD An excellent practical personal finance guide for physicians in training and in practice from a non biased source we can actually trust. - Greg E Wilde, M.D Scroll up, click the buy button, and get started today!
  complaints against financial advisors: Investment Advisers, Financial Planners, and Customer Protection United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance, 1986
  complaints against financial advisors: Key Business Solutions Antonio E. Weiss, 2012-09-19 This book explains how to resolve every challenge faced on a day-to-day basis in your business by presenting an unbeatable inventory of proven problem solving tools and techniques to help you tackle your toughest business dilemmas effectively. You will learn how to: Overcome any business challenge with robust logic and structure How to break down problems and make your workload lighter Deliver the ‘killer’ recommendations Discover how to successfully implement change in people and organisations How to keep yourself, your team, and your stakeholders happy How to use an effective hypothesis-driven approach to problem solving Using case studies, a ‘best practice example’ and at least one figurative table or figure, every dilemma is bought to life equipping you with the very best tools to confront any problem your business may face. The full text downloaded to your computer With eBooks you can: search for key concepts, words and phrases make highlights and notes as you study share your notes with friends eBooks are downloaded to your computer and accessible either offline through the Bookshelf (available as a free download), available online and also via the iPad and Android apps. Upon purchase, you'll gain instant access to this eBook. Time limit The eBooks products do not have an expiry date. You will continue to access your digital ebook products whilst you have your Bookshelf installed.
  complaints against financial advisors: District of Columbia Appropriations for 1998 United States. Congress. House. Committee on Appropriations. Subcommittee on District of Columbia Appropriations, 1998
  complaints against financial advisors: Retire Wealthy Eric D. Brotman, CFP®, 2014-06-26 Retire Wealthy, author Eric D. Brotmans second book, aims to provide readers with the tools needed to achieve financial independence in retirement. Specifically, Retire Wealthy serves as a financial literacy resource for readers who want to learn the basics of financial planning and wealth-building whether working on ones own or with a financial advisor. This highly informative book breaks down investment principles and vehicles in simple language to take the fear out of financial planning and motivate readers to begin the journey to financial independence. Please follow the link below to join our e-mail list: http://www.brotmanfinancial.com/Home.aspx
  complaints against financial advisors: A Straightforward Guide to Individual and Family Finances Adrian Fellows, 2010-11 A comprehensive guide to all aspects of the complex area of personal finance. The book is clear and concise and is intended for the layperson, although it can be utilised by the professional or student. It is ideal for anyone who wishes to obtain important practical advice concerning this area, particularly in the current turbulent climate where uncertainty concerning savings and investments is prevalent.
  complaints against financial advisors: Advisor for Life Stephen D. Gresham, 2011-01-06 The Age Wave of retiring baby boomers is creating a seismic bonanza for financial advisors--if they can provide the kinds of creative and flexible strategies their clients will be wanting and needing. Steve Gresham provides the solid, imaginative, yet practical guidance needed to build winning strategies to meet the needs of a new generation of investors. I have long respected his work and heartily recommend this book. --Ken Dychtwald, PhD, founder and CEO, Age Wave, and author of Age Wave, Age Power,The Power Years, and Workforce Crisis Steve Gresham showed us in The Managed Account Handbook that the basics to asuccessful advisor do not differ from one country to another. In this book, he is expanding his horizon with his extensive experiences to further help you to develop the skills for building a devoted client base. This is the must-read book for all who want to succeed in the financial advisory industry. --Toshiya ShimizuPresident and CEO, Nikko Cordial Advisors Ltd. For thirty years, advisors have been using wealth accumulation as their main sales weapon. With the boomers entering retirement, all that's out the window. Now the imperatives are income distribution, planning--making sure the investor does not run out of money. In Steve's newest book, he does an excellent job of walking advisors through this change and showing them how to alter their practices to not only survive but thrive. This is a must-read for any advisor who still wants to be in the business in ten years. --Len Reinhartfounder and President, Lockwood Advisors? For over thirty years, I have sought advice from industry experts who can help me grow and optimize my practice. Steve Gresham's advice is always of interest to me--he is always right there on the cutting edge. --John Rafal, President, Essex Financial ServicesRegistered Rep.'s Top 50 Financial Advisor for 2006 and Barron's Top 100 Financial Advisor A good coach can help even the best players reach their potential. As a financial advisor, you coach successful families to tackle life's challenges and achieve their goals. Steve Gresham can help--he has the tactics to help you build a winning team. --Mike KrzyzewskiHead Coach, Duke University Basketball and the 2006 U.S. National Team
  complaints against financial advisors: The Fire Chief's Handbook Robert C. Barr, John M. Eversole, 2003 Contines a 71-year tradition of publishing the definitve guide for advanced fire service training.
  complaints against financial advisors: Household Finance Sumit Agarwal, Wenlan Qian, Ruth Tan, 2020-10-07 Household finance studies is a relatively recent field, exploring a growing understanding of how households make financial decisions relating to the functions of consumption, payment, risk management, borrowing and investing; how institutions provide goods and services to satisfy these financial functions of households; and how interventions by firms, governments and other parties affect the provision of financial services. This timely book analyses existing findings about household behavior as well as findings related to policy interventions. With international case studies, this book reviews a topic of global importance and brings a crucial up-to-date survey of the field for researchers and postgraduate students.
  complaints against financial advisors: Are We Just Friends? Juan Xavier Di Varo, 2015-01-31 Platonic friendships have been the topic of heavy discussion over the past decade, with more and more people turning to social media and friending those who are unknown to them, particularly the opposite sex. Many of us can think of a person whom we are friends with who is not of the same gender, and many more of us have become blind to the fact that there is usually always something more that hovers within this limbic space of platonic friendship. A lot of us do not understand the science behind our behavior, and we are uncertain as to why we have certain feelings toward others we consider just friends. There is an evolution at work, and many of our desires and nondesires come from these evolutionary traits that we carry as primates. Although many men and women would confirm that they have a friend who is from the opposite sex and the relationship is specifically platonic, do they truly believe this? Or is there something more between them on an emotional level? The majority of humans tend to shy away from the honesty buried beneath our subconscious in order to cache our true desires for the opposite sex. Are We Just Friends? gives a clear indication as to why we do what we do as human primates and provides a clear understanding as to the types of behavior we undertake when faced with the possibility of intimate thoughts toward those we would consider friends on a platonic level.
  complaints against financial advisors: The Complete Idiot's Guide to Success as a Personal Financial Planner John P. Napolitano, 2007-12-04 Building a successful career in a red-hot field. Financial planning is one of the fastest growing careers in America today. Written by a veteran certified financial planning expert, this invaluable book tells aspiring and new CFPs everything you need to know about the certification process, setting up private practice, self-marketing techniques, client management and expansion, and much more. -Includes a comprehensive resource section
  complaints against financial advisors: The Complete Idiot's Guide to Success as a Personal Financial Planner John P. Napolitano CPA, PFS, CFP, 2007-12-04 Building a successful career in a red-hot field. Financial planning is one of the fastest growing careers in America today. Written by a veteran certified financial planning expert, this invaluable book tells aspiring and new CFPs everything you need to know about the certification process, setting up private practice, self-marketing techniques, client management and expansion, and much more. —Includes a comprehensive resource section
  complaints against financial advisors: The Story of Rich J. D. Joyce, 2012-10-02 An investing story that provides insights into dealing with your money and finding financial security Making the right investment decisions and executing an effective financial plan can be difficult, especially in today’s markets. But with the right guidance you can achieve this goal. Now, in The Story of Rich, leading wealth manager John David “J.D.” Joyce shows you how. Based on his real-world experiences with investors throughout his successful career, this book offers meaningful advice about financial planning and investing. Designed for those with significant assets who are nearing or recently retired, as well as individuals who have recently come into new money through business or inheritance, The Story of Rich skillfully explains financial planning and investing through a fable of a man who sells a business he’s worked so hard to build, and now finds himself with more money then he’s ever had to deal with. Along the way, this book teaches you about important investment concepts and presents you with tools to consider your options and choose an appropriate investment strategy. Chronicles the fictional story of a recently retired businessman who is worried about making the most of his money now that he's no longer generating regular income Presents lessons about investing, sometimes through comparisons to topics like marathon running or wine making, in the quest to make sense of fundamental investment concepts Author John David “J.D.” Joyce has been named a Top Financial Advisor by Barron’s in 2009, 2010 and 2011 Engaging and informative, The Story of Rich is the perfect guide for those concerned about protecting their hard-earned money and investing it wisely.
  complaints against financial advisors: The Socially Savvy Advisor Jennifer Openshaw, 2014-12-03 The social media marketing bible for the financial industry The Socially Savvy Advisor: Compliant Social Media for the Financial Industry is the complete guide to creating an effective social media strategy without breaking the big rules. Written by an industry specialist Jennifer Openshaw, alongside Stuart Fross, Fidelity International's former general counsel, and Amy McIlwain, president of Financial Social Media, this book merges marketing basics with FINRA and SEC guidelines to help readers create an effective social media campaign specifically for the finance and investing world. Contributions from industry leaders at Charles Schwab, Citibank, and others provide inside perspective and experience so readers can tap into a new audience. With a focus on compliance, the book clears common hurdles while dispelling myths and outlining effective methods and techniques. Readers also gain access to a website featuring videos, Q & As, tutorials, Slideshare, and a social media policy template. Social media is one of the hottest topics in finance. From solo practitioners to large asset managers, everyone's consumed by how, when, and where to use this new and powerful medium—but guidance is hard to find. The Socially Savvy Advisor covers the entire issue, from platform, to content, to what not to do. Best practices in using social media for advisors and compliance officers Planning for the regulators, vs. failing to plan Challenges with LinkedIn, Facebook, Twitter and other social platforms Elements of a good social media policy Managing the top issues related to marketing and business development, engagement, and compliance With the right plan and the proper technique, social media marketing can dramatically improve client outreach and retention. The Socially Savvy Advisor provides the expert insight, tools, and guidance that shape a robust, effective strategy.
  complaints against financial advisors: Federal Regulator Perspectives on Financial Regulatory Reform Proposals United States. Congress. House. Committee on Financial Services, 2010
  complaints against financial advisors: 52 Ways to Wreck Your Retirement Tina Di Vito, 2012-01-09 Retirement planning isn't something that happens at a specific point in time or at a specific age - we are all affecting our retirement plans every day with every decision we do or don't make. Canadians are living longer, and the average retiree in the future may have as much as 30 years of retirement to plan for, and there are many simple things that will impact our eventual retirement life. 52 Ways to Wreck Your Retirement identifies 52 things we do that could wreck our retirement, explains why it puts your retirement at risk, and provides the strategy to correct the mistake, or better still, avoid it entirely. The book is organized under several key areas of the planning process, including: Starting to Plan for Retirement Mistakes around Investing Mistakes around Debt Saving for Retirement Pensions Living in Retirement Spending in Retirement New Realities about Retirement 52 Ways to Wreck Your Retirement is not a feel-good book about how wonderful retirement will be or an alarming fear-mongering book about dying broke, nor is it a get-rich-late-retirement solution. Quite simply, it is an easily-accessible and practical guide written for Canadians of all ages that gives you the tools you need to better manage the financial and personal aspects of your retirement.
  complaints against financial advisors: Keep Your Assets. Take My Advice. Rick Johnson CASL CFP CMFC RFC, 2009-03-18 Never Fall Victim to Wall Street Again Recently, most people have been victimized by the revenue generating machine that is Wall Street. The truth is, Wall Street only cares about making the most revenue they can from you. You will learn: The 20%/65% rule of investing in both bear and bull markets. When and why to move your investments to cash. Why agency relationships and suitability are a far cry from fiduciary responsibility. How to convert your IRA to a tax-free Roth IRA using either a Home Equity Line of Credit, a Reverse Mortgage, or a Real Estate Option. A way to pay off your 30-year mortgage in ten or eleven years. How you can get rid of credit card debt in months, not years. Why segmenting your money and using principal for income may put you in a lower tax bracket. How to do a background check on your financial advisor annually. What to look out for in regard to outlandish performance claims by financial advisors. The strategies presented herein will teach you how to have a consistent process and a plan for your success. You will never again fall victim to Wall Street's shenanigans.
  complaints against financial advisors: Surviving the Perfect Storm Michael Canet, 2012-04-15 If you care about your spouse and family, If you have ever experienced stress about market losses, If having a safe, secure, predictable income stream during retirement is important, If you don't have a plan for the high cost of a nursing home or catastrophic illness, Read This Book.
2025 Ford Explorer Problems, Defects & Complaints
The 2025 Ford Explorer has 13 problems & defects reported by Explorer owners. The worst complaints are problems.

2024 Ford F-150 Problems, Defects & Complaints
The 2024 Ford F-150 has 37 problems & defects reported by F-150 owners. The worst complaints are miscellaneous, transmission problems.

2024 Toyota Corolla Cross Problems, Defects & Complaints
Please add any complaints you have so we have more helpful data to show! Add Your Complaint. Search for Car Problems. Example: "Bad Brakes", "Toyota Recall", etc. Add Your Complaint.

2025 Hyundai Tucson Problems, Defects & Complaints
The 2025 Hyundai Tucson has 17 problems & defects reported by Tucson owners. The worst complaints are problems.

2025 Ram 1500 Problems, Defects & Complaints
The 2025 Ram 1500 has 66 problems & defects reported by 1500 owners. The worst complaints are engine, miscellaneous problems.

2025 Honda CR-V Problems, Defects & Complaints
The 2025 Honda CR-V has 103 problems & defects reported by CR-V owners. The worst complaints are electrical problems.

2025 Subaru Outback Problems, Defects & Complaints
Worst 2025 Subaru Outback Problems #1: Driver's Side Front Door Wont Open From Inside/Outside 2025 Outback Average Cost to Fix: N/A Average Mileage: 2,000 mi. Learn …

CarComplaints.com | Car Problems, Car Complaints,
The complaints are organized into groups with data published by vehicle, vehicle component, and specific problem. Follow Us Elsewhere. CarComplaints.com on Facebook; CarComplaints.com …

GM Engine Recall Lawsuit Says Repairs Inadequate
4 days ago · General Motors recalled vehicles with L87 6.2-liter engines, but 9 owners say not good enough. June 12, 2025 — A GM engine recall has led to a lawsuit that alleges the L87 …

2024 Hyundai Venue Problems, Defects & Complaints
Worst 2024 Hyundai Venue Problems #1: Driver Attention Warning (Daw) Too Sensitive, Can't Disable 2024 Venue Average Cost to Fix: N/A Average Mileage: 1,000 mi. Learn More. We're …

2025 Ford Explorer Problems, Defects & Complaints
The 2025 Ford Explorer has 13 problems & defects reported by Explorer owners. The worst complaints are problems.

2024 Ford F-150 Problems, Defects & Complaints
The 2024 Ford F-150 has 37 problems & defects reported by F-150 owners. The worst complaints are miscellaneous, transmission problems.

2024 Toyota Corolla Cross Problems, Defects & Complaints
Please add any complaints you have so we have more helpful data to show! Add Your Complaint. Search for Car Problems. Example: "Bad Brakes", "Toyota Recall", etc. Add Your Complaint.

2025 Hyundai Tucson Problems, Defects & Complaints
The 2025 Hyundai Tucson has 17 problems & defects reported by Tucson owners. The worst complaints are problems.

2025 Ram 1500 Problems, Defects & Complaints
The 2025 Ram 1500 has 66 problems & defects reported by 1500 owners. The worst complaints are engine, miscellaneous problems.

2025 Honda CR-V Problems, Defects & Complaints
The 2025 Honda CR-V has 103 problems & defects reported by CR-V owners. The worst complaints are electrical problems.

2025 Subaru Outback Problems, Defects & Complaints
Worst 2025 Subaru Outback Problems #1: Driver's Side Front Door Wont Open From Inside/Outside 2025 Outback Average Cost to Fix: N/A Average Mileage: 2,000 mi. Learn …

CarComplaints.com | Car Problems, Car Complaints,
The complaints are organized into groups with data published by vehicle, vehicle component, and specific problem. Follow Us Elsewhere. CarComplaints.com on Facebook; CarComplaints.com …

GM Engine Recall Lawsuit Says Repairs Inadequate
4 days ago · General Motors recalled vehicles with L87 6.2-liter engines, but 9 owners say not good enough. June 12, 2025 — A GM engine recall has led to a lawsuit that alleges the L87 …

2024 Hyundai Venue Problems, Defects & Complaints
Worst 2024 Hyundai Venue Problems #1: Driver Attention Warning (Daw) Too Sensitive, Can't Disable 2024 Venue Average Cost to Fix: N/A Average Mileage: 1,000 mi. Learn More. We're …