In the Media

InvestmentNews (June 19, 2019) - Portion of settlements with financial perpetrators would supply the pool.  Vermont victims of investment fraud will be more likely to recover money thanks to a…
Financial Advisor IQ (June 11, 2019) - Legal battles over the SEC’s Regulation Best Interest package may be imminent as consumer groups and legislators have already voiced staunch opposition,…
NAPA (June 10, 2019) - Regulatory Compliance The ink is not yet dry on the SEC’s new investment advice package, but the prospects of a looming legal battle have already surfaced.  The SEC voted 3-1…
AXIOS (June 6, 2019) - The SEC has passed Regulation Best Interest, a new rule requiring stockbrokers and financial advisers to act in the best interest of their clients. Yes, but: There are some…