More in Legal

  • Nov 10, 2014
    blog

    SEC Remains Undecided on Fate of Fiduciary Standard

    The Securities Exchange Commission remains undecided on whether or how to move forward on a uniform fiduciary standard....More
  • Nov 10, 2014
    blog

    The Daily Brief: Morgan Stanley Chooses Uber

    In the battle over on-demand ridesharing startups, Morgan Stanley has officially put itself in Uber’s corner....More
  • Nov 5, 2014
    blog

    State Securities Caseload Down Even as Jail Time Increases

    State regulators’ enforcement actions were down almost 13 percent in 2013, yet the average length of incarceration for securities crimes more than doubled....More
  • Oct 29, 2014
    blog

    The Daily Brief: Zombie Advisor

    Two years after being declared dead, ex-investment adviser from Georgia was sentenced to 30 years for losing clients' money, AP reported on Tuesday. Aubrey Lee Price, 48, lost much of the $40 million he raised from about 115 clients and then vanished in 2012....More
  • Oct 13, 2014
    Article

    The Daily Brief: Trumped

    We know it’s hard to believe, but not every business Donald Trump touches turns to gold. Here are 12 that no longer exist....More
  • Oct 8, 2014
    blog

    The Daily Brief: Myth Busting 101

    Clients should be disabused of the notion that they can do financial planning by themselves....More
  • Oct 6, 2014
    blog

    The Daily Brief: Broker/Dealer Liable for Inside Trades

    The SEC has charged a broker/dealer for failure to protect against insider trading for the first time. The Wells Fargo broker, who had previously been charged, is accused of trading on material non-public information when he learned from a client that Burger King was bieng sold to 3G Capital Management....More
  • Oct 3, 2014
    blog

    The Daily Brief: Estate App

    Woody Levin developed an app that stores all digital passwords, financial accounts, health records, social media log ins, etc. and automatically release them to a designated individual when they verify your death with the service....More

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