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    11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA

    11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA

    FromInvestTalk

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    11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA

    FromInvestTalk

    ratings:
    Length:
    45 minutes
    Released:
    Nov 30, 2022
    Format:
    Podcast episode

    Description

    An SEC complaint highlights what can happen if an advisor breaches their duty to seek 'best execution' for transactions of its advisory clients. Today's Stocks & Topics: Private Equity Industry, Tech Sell-Off, Yield Curve Inversion, BKE - Buckle Inc., The Stock Market and 401k, CTRA - Coterra Energy Inc., SU - Suncor Energy Inc., SLB - Schlumberger Ltd.Advertising Inquiries: https://redcircle.com/brandsPrivacy & Opt-Out: https://redcircle.com/privacy
    Released:
    Nov 30, 2022
    Format:
    Podcast episode

    Titles in the series (100)

    In today's ever changing global economy, understanding investment options can be a daunting, time-consuming task. With all the opinions and hearsay that can bombard investors, education is a key component to success. That's why more and more savvy investors are tuning into InvestTalk. InvestTalk is a weekday program that looks at new and relevant investment topics each weekday, and answers questions about financial and retirement planning, money management as well as general concerns about the stock market with financial adviser, Steve Peasley.