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Tag: SEC

Financial Regulations Protect Consumers–Sometimes

The financial services field is one of the most regulated in the United States. I’m told that our regulations are as complex as those in the medical field. This makes sense; our health and our money are two important pillars of wellbeing. Preventing harm to...

Dig Deeper Than CFP To Find Financial Planner

Watch this video on YouTube I have long recommended that consumers look for a Certified Financial Planning (CFP) certificant when shopping for a financial planner. But don’t stop there. A CFP is no guarantee that someone is a competent, ethical, fiduciary...

Use Resources to Check for Financial Adviser’s Past Misconduct

Watch this video on YouTube Shopping for a financial adviser you can trust has never been easy. The new Department of Labor rule requiring brokers to act in a fiduciary capacity when dealing with retirement plan assets has not made it any easier. The...