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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.'
A lawsuit that a client filed against her financial adviser reads like a soap opera.
Two planners had a role in arranging a business owner's insurance policy, and one is not happy with how the compensation was handled.
An elderly relative experiencing cognitive decline has accused the adviser of stealing from her.
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.
The lead character in the series 'Ozark' is reinforcing Americans' negative view of advisers.
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.
The revised fiduciary standard will make it simpler to answer the increasingly common client question, 'Are you a fiduciary?'
The adviser overstepped his bounds, and here's why
Accepting a free ride to the Masters golf tournament from an attorney you refer clients to would create an obligation on your part.
- Alternative Investments
- Bonds / Fixed Income
- Client Prospecting
- Client Servicing
- Defined Benefit Plans
- Defined Contribution Plans
- Health Care
- Individual Retirement Accounts (IRAs)
- Independent Broker Dealers