Collateral Consequences

Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not
Continue Reading Don’t Argue; The Client Is Always Right Even When They Are Not

The SEC recently issued an investor bulletin regarding one of our favorite topics; data security of customer accounts. The primary areas of the SEC’s focus were:

  1. Have a strong password,


Continue Reading Who wants more reasons to focus on data security

A recent article in Onwallstreet.com highlighted certain areas of focus for investment advisors/broker-dealers when it comes to addressing cyber-threats. The article focused on four areas of particular significance.

First,
Continue Reading Who wants some advice regarding cyber-threats?