Tag: SEC

Financial Advisor Reviews – 5 Paladin Tips

The Securities and Exchange Commission (SEC) has recently ruled financial advisors can begin using reviews on social network and third party websites to help them...

How Good is a Financial Advisor Directory?

There is a proliferation of financial advisor directories on several websites. Is a Financial Advisor Directory a reliable way to select higher quality financial advisors...

Post-JP Morgan – Still Believe a Universal Fiduciary Standard Not Needed?

A recent study provided a list of various things that one could buy with the $33 billion dollars in fines that have been assessed against...

Does the SEC’s “Revolving Door” Impact Investor Protection?

Securities law is a very specialized type of law. As a result, regulatory bodies such as the Securities and Exchange Commission (SEC) recruit securities lawyers...

Getting Justice for Seniors

Every state has passed some form of legislation protecting seniors from financial exploitation in addition to any type of physical abuse or theft of assets.  Senior...

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