SEC Crackdown: How Effective Are Your Anti-Fraud Controls? in Tampa, Florida

SEC Crackdown: How Effective Are Your Anti-Fraud Controls?

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The Securities and Exchange Commission (SEC) filed a record 755 enforcement actions in the fiscal year that ended in September 30, 2014, covering a wide range of fraud schemes and financial misconduct. The investigations have led to roughly $4.2 billion in disgorgement and...
Watch out for the wash sale rule in Tampa, Florida

Watch out for the wash sale rule

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If you’ve cashed in some big gains this year, consider looking for unrealized losses in your portfolio and selling those investments before year end to offset your gains. This can reduce your 2014 tax liability. But if you want to minimize the impact on your asset allocation,...