Books and Records

A recent article in 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.

Continue Reading Who wants some advice regarding cyber-threats?

Not too long ago, I tried a case that had, among other issues, the improper use of the advisor’s personal email account. That improper use serves as a valuable lesson
Continue Reading Do you really need a reason why not to provide your client with a personal email address