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The rep defrauded clients with promises of a “lucrative investment” tied to the popstar that would also “help needy people,” according to regulators.July 8
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As the industry pushed to comply with the fiduciary rule, new issues emerged.June 23
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Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.May 19
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Given that I must disclose on my Form ADV that we accepted the aid, I had to ask myself difficult questions about possibly over-zealous regulatory scrutiny as well as my firm's reputation, this advisor writes.May 15
PresidentSegment Wealth Management
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Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.April 27
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XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.April 23
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Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.March 31
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Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.March 25
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We've had many chances to learn, from the dot-com bust to the 2008 financial crisis. But the storm is perhaps most applicable to our current situation.March 23
Managing PrincipalCipperman Compliance Services
