Category Archives: Due Diligence
Monday Morning Memo: Expensive Lesson on the Cheap
Thorough investment research and due diligence doesn’t promise stellar performance or returns, but it can sure go a long way in averting unnecessary losses. Take this article in the last issue of Bloomberg Businessweek; a story about an asset management firm’s $4 … Continue reading
How to be a Duck
“If it looks like a duck and quacks like a duck – it’s a duck.” As worn out as this adage may be, it remains valid. So, for those who are under fiduciary appointment, and therefore obligation, it is possible … Continue reading
Filed under Due Diligence, Fiduciary
Make sure this ISN’T you…
Workman Securities Corp has agreed to pay $700,000 in restitution to clients who were sold investments in private placements the SEC later charged were engaged in fraudulent activity. FINRA’s BrokerCheck system revealed Workman Securities Corp failed to conduct adequate reviews and due diligence on the private … Continue reading
Filed under Due Diligence, Investment Research
