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“There are many psychological factors that go into such a fraud,” attorney says.

Be dubious about investment professionals who are marketing investments through an affinity group, one industry executive says.

“Monitoring officers incorrectly concluded, after only one minute, that there was no relationship between the customer and First Republic.”

“Obviously, this is beyond unusual,” says one veteran financial advisor.

The regulator’s marketing rule sweep found a raft of violations in the investment advisors’ advertisements.

“Broker-dealers and RIAs are right now in a position where they must over disclose,” says one industry executive.

Outsourcing is a highly personal decision based on an advisor’s specific business circumstances, not general industry or market trends.

The company’s deal to pick up the defined contribution business is one of the bigger ones in recent years, in an industry that keeps consolidating.

More than 80 investors were persuaded by promised 13.5% returns.

Health Care & Power of Attorney Presentation by Tim Pickart for the Fall 2024 workshop series