Securities laws are very strict, and that is for the protection of the investors. Brokers and others who are involved in the industry must ensure that they are acting in their clients' best interests and not trying to further their own gains.
Conflicts are part of doing business. People do not always agree on what is best for a company. If you own a business, you should consider the following common business disputes and how you can prevent them from happening to you:
One of the reasons people let financial planners manage their investment portfolio is because they believe that they're trustworthy as they're licensed by the state. They often belong to professional organizations that have high ethical standards that they must meet as well. There are always bad apples in the bunch, though. If they take certain courses of action or exhibit questionable practices, you may want to reconsider your decision to work with them.
Trying to decide on a financial adviser is a huge undertaking. You need to make sure that you find one who can work with your style and who has your best interests in mind. Unfortunately, there are some that are only out for their own financial gain, which can harm your finances.
As an investor, you count on your advisors to do things that are in your best interest. You certainly don't think that they are going to be acting selfishly with your money. When you do find out that they aren't behaving in an ethical manner, you need to take action. We can represent you in situations like this.
When your company is being investigated for regulatory violations, it is imperative that you make a plan for handling the matter. You shouldn't do anything that could incriminate the company and you need to ensure that everyone is acting in a reputable and lawful manner.