Breach of Fiduciary Duty

The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have
Continue Reading The DOL: The New Securities Regulator?

The SEC recently published its latest investor bulletin. The SEC publishes these from time to time to bring awareness to the investing public on certain issues.

The current bulletin notes
Continue Reading What Should You Take Away From The SEC’s Investor Bulletin

It was great speaking at the May 17 New York NSCP regional conference on risk issues facing firms where Ernie Badway and I discussed cyber-security, risk issues, regulatory matters, issues
Continue Reading Take Away From The NSCP New York Regional Conference

The SEC recently charged four investment advisors who allegedly used free dinners to entice older clients to their firm. At these dinners, these individuals allegedly provided fraudulent marketing materials to
Continue Reading Why A Free Dinner Is Never Really Free

With the exception of those of you who have literally been asleep for the last few years, you are well-versed in the attention FINRA and the SEC are giving to
Continue Reading Are Regulations Regarding Elder Investors Inevitable?

Those famous words of the immortal Yogi Berra hold true when it comes to the SEC exam priorities for 2016. Among those at the top of the list are two
Continue Reading SEC Exam Priorities; It Seems Like Deja Vu All Over Again

Most people say that New Year resolutions are only as good as the paper on which they are written. Notwithstanding that ringing endorsement, I will give it a shot.

Here
Continue Reading Ten New Year Resolutions That Will Help Your Firm