Abandoning a Losing Investment

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 in value.  When substantial losses occur investors need to make the best out of a bad situation.  Often this entails achieving the […]

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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