Investment advisors often have a fiduciary obligation to their clients. Depending on the nature of the relationship between the client and the advisor, this fiduciary obligation could be stronger in some cases. When a broker or advisor is dishonest and makes decisions for their client that are not in the client's best interests, the advisor will have breached their fiduciary obligations and could be financially liable for the damages caused by this breach.
You have the right to expect that your financial advisor is going to do what is best for your financial future. You shouldn't have to worry about your investments just because you aren't watching these accounts daily. The problem that sometimes comes up is that investment professionals might not always behave in a way that is best for their clients.
Raising money for your business brings a host of problems, not the least of which is finding people to invest.
In the state of Kentucky and in the rest of the United States, companies are held to the Registration Under the Securities Act of 1933. This law means that companies must provide certain information so that transparency is maintained. This information is submitted through the registration of securities.
Securities attorneys play an important role for both individuals and companies. Anyone can hire a securities attorney, but what are the benefits of doing so? We will explore the benefits of hiring such an attorney so you can make an informed decision.