If a registered representative does not operate in this capacity for their client, the relationship should be terminated.
Through its complaint program, this firm is empowered to take disciplinary actions against brokers and their firms.
Advisors are known to do this type of frequent & excessive trading without considering the customer's investment goals and primarily to generate commissions that benefit the broker.
Research suggests that this amount of wealth will transfer to heirs over the next 25 years.
Robo Advisors don't have along track record, but from 2017-2022 the 5-year return ranges between __and__ per year.
Brokers sometimes sell products they know nothing about.
In 2008, this financier robbed investors of 65 Billion and went to prison, where he died on April 14, 2021.
The SEC and the Financial Industry Regulatory Authority have alerted financial advisory firms to expect an increase in attacks from this country.
7/2019, 56 firms fined for doing this with their mutual funds. FINRA obtained $89 million in customer restitution as a result of a crackdown on firms doing this with their sales of mutual funds.
In 2022, this FTX founder operated a crypto hedge fund, lived lavishly, and is facing legal action for his now defunct firm.
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The SEC has this rule in place requiring advisory firms to protect customer records against cybersecurity attacks or other unauthorized access. in 8/2021, the SEC fined 8 firms for violating this act.
Most financial planners report that they work well with women, but a recent report states that _____percent of women of planners retain their clients when a spouse dies.
Type of attack in which cybercriminals gain access to files and hold them until ransom is paid.--are on the rise.
Emotion driving brokers and firms to cheat or charge excessive fees.
In July, 2022, three major firms were fined a total of 2.5 million by the SEC for failing to update their programs to protect their clients from this.
Broker in Florida sentenced to 7 years prison in his tech scheme that targeted the_____.
Advisor pleads guilty in Hartford, CT, to stealing 600K from elderly client. He convinced her to open a ____ account with him, and then, without her knowledge, he withdrew money from the account for his own lifestyle. The victim was 73.
BB & T reached a 5.7 million dollar settlement with the SEC over allegations that it misled clients and caused them to overpay for advisory services. They neither admitted nor denied the claims. The definition of this action is withholding money by deceit or without justification.
Finra arbitrators decided this firm to be fined $1.4 million to Ponzi victims because they acted as a clearing house and custodian for Mr. Stanford. He convinced his victimes to purchase CD's in Antigua. He was later convicted of $7.2 billion fraud. Finra believed Pershing had reason to believe something was wrong but took no action to stop it.
This is the percent of registered securities professionals who have some type of disclosure event on their record.
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All your puzzles are accessible from your 'My Puzzles' page, which you can access using the navigation bar at the top when you are logged in.
Be sure to log in using the same email address you used when you created your puzzle.
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There is a 'Make Printable' button on the top left of your puzzle that will let you sign up for a plan or purchase a single puzzle.
Once paid, that button will turn into a 'Preview + Publish' button that will put your puzzle in a format that can be printed or solved online.
Once you publish your puzzle, you can click the print icon or use your browser’s print function.
It looks weird when printed.
First make sure you’ve published your puzzle. See the 'How do I print?' section above for more information.
99% of other printing issues have to do with printer settings. Instead of trying to fiddle with printer settings, which can be time-consuming and frustrating, there are a couple workarounds you can try.
You can try printing from a different browser, since different browsers have different default print settings. Alternately, you can try saving as a PDF (next to the print icon) and print that.
Why isn’t this free?
We invested in building a number of premium features that free sites are unable to offer: the ability to automatically or manually add words to your puzzle, save-as-you-go puzzle editing, the ability to access your puzzles from any computer, an uncluttered and ad-free interface, the ability for friends and colleagues to solve your puzzles online, and quick responsiveness to reported issues.
My Crossword Maker is the lowest-price service we've found that provides these features, and is designed for people who are not satisfied with what free sites are able to provide.
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We’re sorry you thought My Crossword Maker was free, that must have been frustrating.
We’re constantly trying to provide a clear and straightforward user experience, and we’re not trying to hide the price: on the page where you make your puzzle, the price is listed in the overview in the top left (before you log in), below the 'Make Printable' button (after you log in), in the FAQ below the grid, and also in the tour.
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First check whether you used a different email address to create your account. Your login email is the email address where you received a welcome email from us.
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I am being asked to pay a second time.
If you are a member of My Crossword Maker and are still being asked for payment, then you may have inadvertently created a second account.
Your paid account will have the email address where you received an email confirming your subscription.
If you never received such an email, or are still unable to find your paid account, report an issue below and provide the name and last four digits on the card you used when you signed up. We’ll use this information to track down your account.
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For security a human can’t see or reset your password, so read the below information carefully.
If you haven’t gotten the password reset email, check your spam folder, be sure you’re checking the email account that the email was sent to, and be aware that some school email systems block emails from non-school email addresses.
If you have the password reset email but the password isn’t accepted, be sure you are using the most recent password reset email: sometimes people will hit the button twice, and only the second password will work.
Be sure if you copy-paste the password not to get a space on the outside, or if you're typing it keep in mind that it's case-sensitive and that a lower-case L can look like the number 1, etc.
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Not all my words are in my puzzle.
When you hit the 'Arrange' button, our algorithm will try to arrange all your words on the grid, and will move words around to try to fit the most words.
This will get all the words on the grid about 90% of the time, depending on the word list. For the other 10%, you will get an alert explaining that the words that did not fit were added to the scratchpad.
It prints on two pages.
Big puzzles won’t always print on one page — the clues and grid are the smallest we could make them while keeping them readable for everyone.
That said, different browsers print in slightly different ways, so you could try using 'print preview' using a different browser (or try the PDF button) to see if you like how that looks better.
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We generally respond to all reported issues in about a day. If it’s been a few days and you haven’t heard back from us, it’s possible we sent an email that didn’t reach you.
Check your spam folder, and be aware that some school email systems block emails from non-school email addresses. Try providing a different email address if you think our emails to you are being blocked.
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