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NISA Investment Advisors (NISA) is an American asset management firm headquartered in Clayton, Missouri. Despite the large size of its assets under management (AUM), the firm maintains a low profile.
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Topping the complaint list were cell-phone companies, with 38,420 complaints, up 41% over 2010. After that, the list includes (in order of number of gripes): new-car dealers
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The Consumer Financial Protection Bureau (CFPB) is an independent agency of the United States government responsible for consumer protection in the financial sector.CFPB's jurisdiction includes banks, credit unions, securities firms, payday lenders, mortgage-servicing operations, foreclosure relief services, debt collectors, for-profit colleges, and other financial companies operating in the ...
Over the years, investment advisors have been taught to know the customer's suitability, objectives, time horizon and risk tolerance, and to limit speculative or aggressive recommendations based on information from the customer. With the new rule 2111, brokers may be liable for their product and service recommendations which are part of a strategy.
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