Charles C. Mihalek, PSC
THIS IS AN ADVERTISEMENT
For Investors
Compiled below are a number of articles and links that should help you understand and educate yourself as an investor to better ensure your financial security and protect your financial assets. If you are unfamiliar with the terminology used in any of the articles and websites compiled below, you may visit our Definitions for Investors page for references.
Charles C. Mihalek, PSC has also prepared a short Investor Primer for individual investors with tips on What Not to Do, What to Look For and What to Do Next if you believe you are the victim of broker misconduct.
Investor Education
American Association of Individual Investors (AAII)
Investor Education at North American Securities Administrators Association (NASAA)
Alliance for Investor Education
Foundation for Investor Education
NASD Investor Alerts
Ten Tips to Keep Track of Your Investments, September 23, 2002.
Understanding Mutual Fund Classes, January 14, 2003.
Net Asset Transfers: Look Before You Leap Into Another Mutual Fund, February 26, 2004.
Mutual Fund Breakpoints: Are You Owed a Refund? November 3, 2003.
Variable Annuities: Beyond the Hard Sell, May 27, 2003.
Articles for Investors
How to Avoid Problems with Your Broker, from the NASD
Prohibited Conduct, from the NASD.
How to Check Your Broker or Brokerage Firm, from the NASAA.
How to Protect Your Money from Dishonest Investment Advisors, from the NASAA.
Arbitration Forums
National Association of Securities Dealers (NASD)
New York Stock Exchange (NYSE)
Tools for Investors
NASD Investment Professional Background Check
Investing Online Resource Center
Investor Protection Trust
How to Make a Complaint
NASD Investor Complaint Center
NYSE Complaints & Inquiries
For information regarding how to contact your state securities regulator, click here.
To return to our Homepage, click here.