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Home / Columnists / Berko / Unregistered EIAs draw majority of SEC complaints (access required)

Unregistered EIAs draw majority of SEC complaints (access required)

DEAR MR. BERKO: My significant other and I are in our early 50s, and in March 2008, we rolled over our 401(k) accounts – which were stuck in some stupid, pitiful mutual funds offered by our company – to a Roth IRA with a broker we didn't like because we were in a hurry. This ...

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