ComplianceEX recently published an article by Julie DiMauro regarding the debate, albeit not as pronounced as of late, over whether broker-dealers should be subject to a fiduciary duty standard of care

Continue Reading To Be Or Not To Be . . . A Fudiciary Is The Question

Recently, UBS announced that it had terminated a former trader, who was also arrested by British police.  Apparently, this rogue trader cost UBS over to $2.25 billion.  UBS was in

Continue Reading UBS Loses 2 billion in Rogue Trader Scandal– A Wake Up Call for the Rest of the Industry