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Tag: FINRA Regulatory Notice 11-02

October 9, 2019

Financial Advisors Duties: Suitability & Tax Consequences

Does a financial advisor have to factor in taxes when making a recommendation? Before recommending an investment, financial advisors are...

Blog, Securities Fraud Articles

April 9, 2013

Unified Fiduciary Standard Coming?

The White Law Group continues to follow the SEC discussions regarding the development of a unified fiduciary standard in accordance with...

Fiduciary Duties of Broker Dealers & Investment Advisers, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud Articles

March 14, 2012

Fiduciary Duties of Broker Dealers & Investment Advisers

Dodd-Frank Wall Street Reform and Consumer Protection Act In the wake of the 2008 financial crisis, the Dodd-Frank Wall Street Reform and...

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