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Posts Tagged ‘fiduciary duty’
Wednesday, July 28th, 2010 by sturnbull
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Does Financial Regulation Equal Greater Investor Protection?
The Dodd-Frank financial overhaul legislation was passed by Congress and signed into law by the President. What impact does it have for individual retail investors? The consensus among the experts is that it has no immediate benefit for retail investors but could result in significant changes down the road. Office of the Investor Advocate and the ...
Securities law: What investors and advisors should know now
Welcome to my securities law blog. As an experienced securities litigation attorney and former financial advisor, I am writing to educate and provide information to investors, financial advisors, and others about the financial services industry. The blog provides information on investment advisory services and their regulation. In my posts, I will cover three main areas: financial ...