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Investment Counselors

BUSINESS
August 5, 1992 | TOM PETRUNO
Investment advisers in the state of California face tough new rules governing the "fair, equitable and ethical" treatment of their investors. The regulations took effect June 11, but many financial planners and other independent money managers say they aren't aware of them. They'd better get aware, though: In its effort to protect individuals from investment fraud and abuse, the state has gotten very specific about what advisers must say and do where clients are concerned.
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BUSINESS
November 11, 1993 | CHET CURRIER, ASSOCIATED PRESS
Imagine a restaurant chain spending big money to warn you of the health hazards posed by the high-fat dishes it serves. Or a car manufacturer publishing information in grisly detail on the dangers of a highway crash. Or a bank going out of its way to alert you to the debt perils posed by its credit cards. Unlikely as such visions may be, something very much like that is taking place these days in the booming mutual-fund business.
BUSINESS
August 23, 1989 | From The Washington Post
The investment firm Drexel Burnham Lambert Inc. warned its employees this week to avoid business contact with Michael Milken, the financier who turned Drexel into one of the most profitable firms on Wall Street. As part of its settlement of sweeping fraud charges with the Securities and Exchange Commission earlier this year, Drexel agreed to dismiss Michael Milken and his brother, Lowell, and to sever business relationships with them.
BUSINESS
December 3, 1989 | CARLA LAZZARESCHI
A stockbroker can help you put together an investment portfolio and even advise you on the range of securities and other opportunities available to you. But a broker is not necessarily a financial planner, who can evaluate your personal circumstances and objectives and draft a detailed investment strategy. Choosing a good financial planner who understands your goals and investing temperment can be difficult, but not impossible.
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