Month: August 2014

Major Wirehouses Holding Billions In Up-Front Notes

By Erwin J. Shustak — posted in Financial Advisor & Broker Disputes, Financial Industry Developments on Wednesday, August 20, 2014.

Financial Advisors

According to a published report today, the top wirehouses are holding billions of dollars of up-front notes given to entice…

Contractual Compliance & Compensation Relationships Between RIAs and Clients

By Erwin J. Shustak — posted in Securities Regulation & Compliance on Monday, August 4, 2014.

Compensation Securities Regulation

The SEC holds Registered Investment Advisers (RIA’s) accountable to the highest standards for the advice they provide in exchange for…