Abandoning a Losing Investment

Please note: The law has changed since this post has been published. Please click here for more information on the updated law. While nobody invests in a fund with the intention of losing his or her investment, inevitably, it sometimes happens.  Fund investments, like any other investment, can decline substantially […]

FINRA Update

We have received many inquiries relating to a recent Financial Industry Regulatory Authority (FINRA) posting, as part of their weekly update relating to a firm’s designation of accountant, which reads: “As a reminder, SEA Rule 171-5(f) (2) requires firms to file a statement with the SEC and its Designated Examining […]


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