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Financial Advisors Using Yelp for More than Just Restaurant Recommendations?

A new SEC guideline now allows investment advisors to publish public...

Free Tools to Assess Your Competitor’s Marketing & Advertising Efforts

Although the term “you get what you paid for” usually...

Product Understanding is Essential

Selling a product without product understanding misses the mark and often...

If it was not Documented, it Didn’t Happen!

For Registered Representatives, documentation is key to loss prevention. Read on...

Ensure Funds Are Invested as Requested

Registered Representatives can help themselves avoid loss and reduce exposures using...

Don’t Overpromise and Under Deliver

Making false promises is not only detrimental to a firm’s reputation,...

Complete, Accurate and Timely

“The thing about information is that information is more valuable when...

Happy 4th of July!

The SEC and Courts May Consider Events Outside the Five Year Statute of Limitations in Crafting Enforcement Sanctions

By Andrew Dorman and Chetan Patil, Reminger Co., L.P.A. As a result...

How to Select the Right Coverage- Broker Dealer E&O

When it comes to Errors & Omissions Insurance, not all...