Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Arbitration used to be relatively quick and cheap. Not anymore, and no one - not firms nor lawyers, nor brokers, nor customers - seems to like it. What to do?
When a former co-worker sets out to ruin an advisor's reputation it may be extremely difficult to extract any justice, much less the smudge on his reputation
Penitence Pays Off for Putnam: The SEC filed charges against six former officers of Putnam Fiduciary Trust Company (PFTC) for helping to defraud a defined contribution client and a group of Putnam mutual funds of approximately $4 million. In the...
Our interests may not always be the same as yours. Imagine telling your clients that. And then imagine saying 20 minutes later, But now that we're discussing your comprehensive planning needs, I'm acting in your best interests, because I've put on...
