Ernie Badway and I have prepared a series of podcasts dealing with the relationships between broker-dealer, investment advisors and their customers. 
Here is the third part of that series focused
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Breach of Fiduciary Duty
Who wants to hear about pitfalls in the advisor/broker-client relationship
By Joshua Horn on
Ernie Badway and I have prepared a series of podcasts that highlights client-issues and risk avoidance techniques for broker-dealers and investment advisors. We hope you’ll take a listen.
Continue Reading Who wants to hear about pitfalls in the advisor/broker-client relationship
Why elder issues are not just about your clients
By Joshua Horn on
The SEC and FINRA have made it very clear that they are focused on senior customers and elder abuse. Granted, firms must be focused on the elder customers, but, at…
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So who thought that the SEC was not serious about cybersecurity
By Joshua Horn on
In a recent blog post, I noted that the SEC is undertaking another cybersecurity exam priority. If that was not enough to get your attention about your own cybersecurity…
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So who really thinks the SEC is not focused on elder investors
By Joshua Horn on
If there is any question that the SEC is focused on elder investor issues, look no further than its recent program announcement. The SEC initiated a program designed to examine…
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So What Does The SEC Think About Cybersecurity
By Joshua Horn on
At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors. This guidance is equally instructive for broker-dealers and…
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The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
By Joshua Horn on
The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts. The primary purpose…
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Who Needs The SEC Anyway
By Joshua Horn on
At least one New York City official would answer that question in the negative. The city comptroller released a proposal that would require a financial advisor to clearly state whether…
Are You Charging Your Customers Too Much
By Joshua Horn on
If you are not asking that question, FINRA may as its recent $350,000 fine levied against a major brokerage house indicates. In that instance, FINRA found that the brokerage charged…
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My Client Is Ignoring Me, Now What
By Joshua Horn on
Anyone who is in a service industry frequently faces this question. It is what you do in response that makes the difference between being a target for a lawsuit and…
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