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Tag: fiduciary duty

Blog, Current Investigations

McDermott Investment Advisors held Liable for Breaching Fiduciary Duty with UITs

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

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Blog, Current Investigations, Securities Fraud

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

The Difficult Balance Between a Financial Advisors’ Fiduciary Duty and Pushing Their Own Products

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

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

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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Blog, Securities Fraud

Alaska Securities Law

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

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