Added on March 2018 in Form an RIA
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Summary: The Securities and Exchange Commission’s exam division is targeting bad brokers to complement the crackdown being conducted by the securities regulator’s enforcement division, according to Pete Driscoll, director of the agency’s Office of Compliance Inspections and Examinations.
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Summary: Massachusetts set off alarms across the brokerage industry earlier this month when it charged Scottrade with violating the DOL fiduciary rule. At the heart of the complaint: allegations concerning the firm’s use of sales contests.
Added on February 2018 in Blog
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Summary: A couple of years ago, InvestmentNews warned of the "great wealth transfer" that loomed on the horizon and detailed the risk it posed to advisers. The article unearthed some unsettling stats about what happens to the adviser-client relationship when accounts are passed down to the next generation. According to the study, an overwhelming 66% of children fire their parents' financial adviser after they inherit their parents' wealth.
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Summary: In honor of Black History Month, I believe it’s critical that we send a message that the financial planning profession celebrates diversity and inclusion and is stronger today because of the growing diversity of the professionals in our ranks.
