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Tag: fiduciary duty

Breach of Fiduciary Duty, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

March 30, 2023

Breach of Fiduciary Duty 

Breach of Fiduciary Duty – Is your Broker acting in your Best Interest? A breach of fiduciary duty occurs when someone who owes a...

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McDermott Investment Advisors held liable for breaching fiduciary duty, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

July 15, 2022

McDermott Investment Advisors held Liable

SEC Charged McDermott Investment Advisors with ‘double-dipping’ with advisory fees, transactional costs  According to...

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Risk Alert: SEC finds RIAs Fee Calculations Harmful to Investors, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations, Securities Fraud

February 18, 2022

Risk Alert: SEC finds RIAs Fee Calculations Harmful to Investors  

Registered Investment Advisors Fee Calculations found Lacking According to a Risk Alert published by the SEC On November 10, 2021, the...

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Blog, Securities Fraud

September 2, 2011

Financial Advisors’ Fiduciary Duty

Andrew Haigney recently wrote an interesting article for businessinsider.com where he called investment advice “one of the greatest scams...

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Blog, Securities Fraud

January 13, 2011

FINRA Know Your Customer Rule

Financial Advisors have a fiduciary duty to research investments and to make sure that every investment they recommend is suitable for the...

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Blog, Securities Fraud

August 26, 2010

Minnesota Securities Laws

Each state has its own securities laws. The following are selected sections of the Minnesota securities laws that are generally applicable...

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