The Motley Fool

SEPTEMBER 12, 2023

What to do if your financial planner invests without your approval If your financial planner made investments without your authorization, the first thing FINRA recommends is to contact the financial institution your advisor works for. If you're not satisfied with the response you receive, it's time to file a complaint.

Securities and Exchange Commission (SEC) 130

Securities and Exchange Commission (SEC) Mutual Funds Assets Law Firms 130

Fortune Financial

MARCH 30, 2023

Education Savings Plan This plan works much like a Roth 401(k) or Roth IRA by investing your after-tax contributions in mutual funds or similar investments. The first is a direct rollover, where the 529 account transfers directly from one financial institution to another. Two rollover methods exist.

Taxes 52

Taxes Education Mutual Funds Accounting 52

The Big Picture

MAY 9, 2023

SALISBURY: Generally, it’s asset liability mismatches that causes bank failures, but it also causes, in some cases, hedge fund failures and other financial institutions to fail. So what I mean by that is, what is your source of funding? Capital rules were changing. Risk appetite was changing. RITHOLTZ: For sure.

Liabilities 117

Liabilities Assets Banks Hedge Funds 117

The Big Picture

MARCH 27, 2023

MIELLE: Of course, I was and it was particularly ruthless because I was in a group called FIG, Financial Institutions Group. At that time, there were still a lot of savings and loan institution, thrifts, lots of mergers. MIELLE: So financial institutions were not my industry to cover. It’s hedge funds.

Hedge Funds 112

Hedge Funds Funds Assets Financing 112

The Big Picture

APRIL 25, 2023

I mean, at first, I got out of undergrad, and a degree in finance coming out of a small college at the time, Quinnipiac College, the gigs I was offered were essentially customer service jobs at mutual funds, call service, manning the phones, which I was no stranger to. RITHOLTZ: Compliance, legal, and risk. HAMBURGER: Exactly.

Legal 62

Legal Law Firms Consultants Consulting 62

The Big Picture

FEBRUARY 20, 2024

I remember it really well because I just finished building this house in West Virginia and we, we were taking occupancy in early August, and it was, it was literally the same day that BMP Paraba shut off redemptions from some of their mutual funds, caused all sorts of chaos in Europe. We’re the international arm of the Fed.

Banks 57

Banks Stock Market Stock Market Legal 57