Sweep finds big problems with sales practices for structured products, particularly RCNs; suitability a huge concern By Mark Schoeff Jr. July 27, 2011 3:29 pm ET Broker-dealers have been engaging in sales practices for structured products that hurt retail investors, according to a Securities and Exchange Commission report released on Wednesday. In sweep examinations of [...]
It’s all About Fiduciary Duty to Your Clients Everyone who listens to the news, either on the radio or TV, knows that the SEC is going after Goldman Sachs. There are significant problems to be ironed out. If, as is alleged by the SEC, there was criminal activity at Goldman, then someone needs to be [...]
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