“The SEC is unable to hold bad actors accountable through most enforcement actions, preventing harmed investors from obtaining relief,” said Waters, chairwoman of the House Committee on Financial Services.
Clients' kids want to meet with their parents' financial advisor, yet only 3 percent do so regularly, according to a recent Wells Fargo Private Bank survey. Whose fault is that?
Advisors should foster relationships with CPAs all year long.
Finding himself in thousands of dollars of debt, this financial advisor finally started taking his own advice.
