THE FOLLOWING ARTICLE WAS OBTAINED FROM THE SEC'S WEBSITE: "On March 1, 2012, a federal judge ordered the former CEO of Brookstreet Securities Corp. to pay a maximum $10 million penalty in a securities fraud case related to the financial crisis. In December of 2009, the U.S. Securities and Exchange Commission filed a civil injunctive […]

Investors in the Behringer Harvard Short-Term Opportunity Fund I LP, which had about $130 million in total assets, saw its valuation drop to approximately .40 cents a share, down drastically from aproximately $6.48 a share.   Behringer Harvard still hasn’t explained what happened to wipe almost all of the fund's value.   The Securities and […]

In an article from the New York Times, October 18th., 2011, John Wasik writes that if you’re concerned about whether an adviser’s parent firm is going to survive a crisis or if you’re not happy with your portfolio, there are some important questions to ask before you make a change to a new wealth manager. […]