Insights

The looming threat of class action lawsuits for broker-dealers

Broker-dealers have been immune from class-action lawsuits as a result of the provisions of the Federal Arbitration Act (FAA) 1925 which overshadows the equally potent investor protection clauses in the Securities Exchange Act (SEA) of 1934. These ...

Advisors’ Choice: freedom beckons with Democratized Technology

Freedom and the lure of entrepreneurship tempt advisors to leave large investment institutions despite the comfort of working in institutions richly endowed with resources to support them, attractive compensation, and career stability.

INDEPENDENT ADVISORS ACHIEVE CUSTOMER GOALS WITH DIGITAL FINANCIAL PLANNING

Independent advisors embrace a new business model of high-touch customer services and leave behind purely transactional relationships with clients at Wirehouses.

HAYDEN ROYAL ADDS 160 MILLION IN ASSETS, EXPANDS IN ARIZONA

Hayden Royal—a registered investment adviser that seeks to help independent wealth advisors build generational legacies on behalf of their clients— announced today that it is expanding into the Phoenix, Arizona-area with a team of former Wells Fargo

Protecting Elderly Clients

As part of the SEC’s 2017 Exam Priorities, one of the three key areas that the SEC noted as a “hot button” issue to be examined was protection of elderly clients. Specifically, the SEC noted that it would pay close attention to areas where a senior ...

Is the Broker Protocol Collapsing?

Is the Broker Protocol Collapsing? In recent months, both Morgan Stanley and UBS have withdrawn from the Broker Protocol and many pundits have opined that the departure of two of the original and largest members of the Broker Protocol may have the ...

Investment Strategy: Direct Investment in Residential and Commercial Proerty

Direct investment involves directly buying and selling residential or commercial property. It may also include managing the property, in some cases. You might consider direct investment for one or more reasons, including the potential income ...