Tag Archives: investment firm

Houston Firms Charged for Undisclosed Transactions

The SEC has charged two investment firms in Houston, Parallax Investments LLC and Tri-Star Advisors, along with three of their executives, for “engineering thousands of principal transactions” through a brokerage firm they are affiliated with without disclosing it to their clients. … Continue reading

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Financial Advisors’ Tips

Financial Advisors and Tips for Who to Work With The role of an investment advisor is still a necessity for most households.  This is good news for sales people working for investment firms, and as the market continues to gain … Continue reading

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