It is a constant source of amazement to me, that two of the most important financial institutions in our country are confused by almost all of the people that patronize them, as well as, most of the professionals that work for them. Registered Investment Advisers (“RIA’s”) and Broker/Dealers (“B/D’s”) may look nearly identical to the lay public, but they are worlds apart in the way that they are structured, how they operate and how…
Read MoreDo you know what you would do if you were faced with allegations of regulatory misconduct? Do you immediately admit wrong-doing and take your punishment? Do you ignore the regulators and do nothing? Do you defend yourself against them and fight back?
If you are ever faced with these choices, I can show you how to successfully…
Read MoreIf you have been in the securities business for any length of time, you know it is an extremely highly-regulated industry with a myriad of complicated rules and regulations to contend with. The SEC, FINRA and State Regulatory Agencies are always looking closely at…
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