Are you a financial adviser who is thinking about leaving your current broker-dealer and moving on with your clients in tow? Maybe you want to go independent -- or maybe you just want to work somewhere else, under a different mantle?Hold on. You'd better go read your...
Investors should be able to count on their financial advisors to do what is in their clients' best interests. While many of them do what they should, there are some who are very self-serving. Instead of advising clients about what is best for the investor, they look...
While anyone can get scammed by a financial advisor, elderly people are particularly vulnerable to being taken advantage of in financial transactions. With that in mind, the Kentucky government established the Elder Investment Fraud and Financial Exploitation (EIFFE)...
People who are involved in handling client investments know that there are often some complex elements associated with these duties. Trying to ensure that you are always in compliance with applicable laws and regulations can be complicated. There may be times when you...
