Ask The Ethicist

Dan Candura, founder of the education and consulting firm Candura Group, answers readers’ questions on the ethical dilemmas financial advisers face.

Displaying 30 results

Topic

Dan Candura’s final column contains his best advice for acting ethically

In his first Ask the Ethicist column, he set out what he calls the essential truth of ethics: 'We know what is right if we stop to give it some thought.'

Topic

Ask the Ethicist: Ethical lapses can destroy a career

A lawsuit that a client filed against her financial adviser reads like a soap opera.

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Ask the Ethicist: Should a CFP file an ethics complaint about an insurance commission?

Two planners had a role in arranging a business owner's insurance policy, and one is not happy with how the compensation was handled.

Topic

Ask the Ethicist: How should an adviser deal with a paranoid older woman?

An elderly relative experiencing cognitive decline has accused the adviser of stealing from her.

Topic

Adviser compensation involves a conflict that can be managed — but not avoided

The CFP Board's revised standards reinforce its requirements limiting the use of the term "fee-only" to situations in which fees are the sole method of compensation.

Topic

TV show paints bleak picture of financial planners

The lead character in the series 'Ozark' is reinforcing Americans' negative view of advisers.

Topic

Ask the Ethicist: CFP professional wonders about possible part-time gig

Solo practitioner wonders if he can still describe his practice as a fee-only if he takes on financial planning work from a friend who earns some commissions.

Topic

What does the new CFP standard mean for a CFP at a wirehouse?

The revised fiduciary standard will make it simpler to answer the increasingly common client question, 'Are you a fiduciary?'

Topic

Ask the Ethicist: Should a financial adviser accept an inheritance from a client?

The adviser overstepped his bounds, and here's why

Topic

Ask the Ethicist: How big a gift is too much?

Accepting a free ride to the Masters golf tournament from an attorney you refer clients to would create an obligation on your part.

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