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Goldman has made an offer to buy back the warrants from holders for a 10% premium on their purchase price, plus a fixed payment to cover broker fees.
ECONOMIST: Goldman Sachs gets burned by, er, Goldman Sachs
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In this scenario, there are no direct broker fees or commissions paid but the inherent conflict of interest is self-serving when offering research and recommendations on proprietary and non-proprietary funds where indirect and undisclosed revenue can be captured.
FORBES: Another Perspective on the Shifting 401(k) Landscape: David Witz of Fiduciary Risk Assessment LLC (March 20,2008)
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If you use a full-service broker, it also will tell you how reasonable your broker's fees are when compared with competitors.
WSJ: The New Money Apps
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Auditors, of course, charge large fees to broker-dealers to perform audits.
FORBES: The Bean Counters Look the Other Way at Fraud
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Many have fallen short of their high promised yields while layering on management fees and bestowing large broker commissions.
FORBES: Investment Conflicts SEC Should Police First
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These ongoing expenses are generally coupled with declining back-end loads (exit fees) that ensure that the broker can be paid.
FORBES: Fund Manager Knows Best
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Naturally, your return depends on the performance of the funds and the fees you're charged, which in broker-sold 529s can be steep.
FORBES: Pay Now, Learn Later
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Alfred Berkeley, chairman of Pipeline Trading Systems, says all broker-dealers and ATSs pay for regulation through 31a fees which go to the SEC.
FORBES: Schumer And NYSE Want To Tax Dark Pools
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As with all alternative funding options, however, you should be careful and fully aware: Before proceeding, be sure you are dealing with a credible broker, and be sure that you clearly understand all loan terms and associated fees.
FORBES: Could Online Pawns Fund Your Business?
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Rowe Price and American Funds, as well as broker-dealers and others, to provide more information about the direct and indirect fees they collect from 401(k) accounts.
FORBES: Will We Ever Find Out What We Pay In Retirement Fees?
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Perhaps daunted by all the options offered--all 50 U.S. states and the District of Columbia offer plans with varying investment choices and fees--75% of parents and grandparents opening new accounts are buying into broker-sold, high-cost plans, rather than investing in the lower-cost plans available directly from such operators as TIAA-CREF , Vanguard and Fidelity .
FORBES: An Expensive Education