Fiduciary Standards

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.

The Department of Labor has proposed the implementation of a fiduciary rule which would require all financial services professionals, including stock and insurance brokers, to put their clients’

The bold print giveth and the fine print taketh away. It’s a bit of truthful sarcasm often repeated by professionals within the financial services industry when describing the usefulness of those

He thought he had addressed every “what if” scenario that could arise as he started his own firm.

Can I have a show of hands please? How many of you know the difference(s) between "defined benefit" pension plans and 401k, IRA, 403b, and other forms of "defined contribution" plan?

Chasing hot stocks and quick returns, great for financial titans, bad for you.

 When it comes down to the competitive business of caring for clients’ money, an advisor’s flexibility to choose the right investments, while keeping expenses low, and giving investors great service, one only needs to turn to the rock-solid registered investment advisors who always stand stoic in protecting the clients best interest.