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More alarming, the research showed that those with at least one instance of misconduct are five times more likely to engage in it in the future compared to the average financial advisor. One note: While you should thoroughly review.

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That’s not a comfortable topic to consider, but it’s something I and other financial advisors must confront, given recent events. The reality is that current and would-be. Lieber said his close review of his accounts showed none of his.

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NOTES. 1 The Financial Services Modernization Act, or Gramm-Leach-Bliley Act, 15 U.S. Code §§ 6801-6810. Known as the “GLB. Act,” the law allows financial.

Let’s review briefly what. the literature suggests that financial advisors shouldn’t expect, nor communicate to clients an expectation of, market-beating results via manager selection, at least not with the current (sometimes.

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The Financial Industry Regulatory Authority, which regulates brokerage firms and brokers, declined to comment. Lacy Harber, a prominent 80-year-old Texas businessman, plans to bring national attention to his complaints about Wells.

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There are nearly 176,000 people out there calling themselves financial advisors, according to the Bureau of. If not, ask to call a few of the financial planner’s current clients for a review. Work with an adviser who understands your.

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3 This is a financial measure that is not calculated based on U.S. Generally Accepted Accounting Principles (Non-GAAP). See the Use of Non-GAAP Measures section of this press release for additional information. 4 The company.