Archive for January, 2011

“You should have seen it coming!” Of all the things clients have said to me over the years, that one phrase stings most. In particular, I remember when it was said by one woman, a long term client. I was attending a financial conference; my staff had called my cell phone with the message that [...]

Some SEC regulations are there to protect us from doing dumb things. That’s a good thing, since the world is full of people who would take advantage of unsophisticated investors. Among the safeguards is a set a rules which allow only “accredited investors” to move into what are rightly perceived as complex investments, including so-called [...]