Fiduciary Standards

With the majority of working Americans behind in retirement savings, managing and growing money reserves is a concern in many households.

Most investors have little idea what the term “fiduciary” means, much less whether their financial advisor operates in a fiduciary role.

Investors need more than advice on asset allocations or which stocks to buy – they also need an advisor who communicates often and in language they can understand.

Studies show many consumers don’t understand the concept of fiduciary. The State of Consumer Retirement Advice Survey, conducted in 2017, found that just four in 10 people

If you ask a group of people what a financial advisor does, chances are you’ll hear many thoughts on the types of services offered—but in some cases you may just get a blank stare.

Transparency serves clients well. The film “The Big Short” might be a somewhat-sensational, fictionalized retelling of the 2007 financial crisis, but it got one thing right: nobody appears to

Financial advisors constantly grapple with new laws and regulatory changes. And for prospective investors searching for a good advisor, the best question to ask is: How do you keep up?

On March 15, 2018, the U.S. Fifth Circuit Court of Appeals voted down the effort of the states of New York, California, and Oregon, and the nonpartisan organization, AARP, to implement the

Even though the Department of Labor’s (DOL) fiduciary rule appears dead since the Department of Justice did not petition the Supreme Court for a hearing by the June 13 deadline, Nick

Recent moves by the federal government to create a uniform fiduciary standard suggest that financial planning professionals who are paid via commission need a ruling in

Growing up on a farm in Iowa taught Doug Mottet the lesson of “sowing and reaping.” He watched each year as seeds were planted in an investment-like fashion toward what

Armed with a Doctor of Jurisprudence degree from the Pace University School of Law, Daley started her career as an attorney working in the financial services industry.