The Department of Labor is working with the SEC to investigate "pension consultants" who may not be living up to the fiduciary responsibility of advising retirement plan participants.
Despite a sense that a bill to move RIA supervision to a self-regulatory organization seems inevitable in the House, the Senate promises to be an entirely different ball game.
A self-proclaimed "life coach" and self-help author has been charged with fraud again -- this time for running a private placement Ponzi scheme to pay his previous victims.
Regulatory compliance and advertising review services.
You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $60 quarterly membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.