Alfidi Capital Blog

The official "blog of bonanza" for Alfidi Capital. The CEO, Anthony J. Alfidi, publishes periodic commentary on anything and everything related to finance. This blog does NOT give personal financial advice or offer any capital market services. This blog DOES tell the truth about business.

Showing posts with label FINRA. Show all posts

Showing posts with label FINRA. Show all posts

Thursday, January 02, 2014

Non-Financial Companies Should Not Operate Crowdfunding Portals

I attended a holiday party last month where one of the nameless wheeler-dealer types in attendance bragged that his technology company was ...

Tuesday, December 31, 2013

IRA Rollovers and 401(k) Problems

FINRA is warning financial advisers in Regulatory Notice 13-45 that they need to remember their fiduciary duties when discussing IRA rollov...

Sunday, October 20, 2013

Alfidi Capital Heard Roger Royse at Idea to IPO's Current State of Crowdfuning

I'm always checking out startup action in Silicon Valley. The JOBS Act of 2012 was supposed to make that easier. Performing due dili...

Thursday, September 26, 2013

Alfidi Capital in Compliance With First Amendment in Social Media

I'll give my audience another reason why I don't give financial or investment recommendations to investors. Securities regulators ...

Tuesday, May 22, 2012

The Haiku of Finance for 05/22/12

Regulators look Facebook debut went poorly Too many problems

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Anthony Alfidi

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