Errors & Omissions

As we write this article, the media is abuzz with accounts of the U.S. Affordable Care Act’s flawed enrollmentwebsite. Testifying before Congress, contractors blamed the ... Read more

Back in the dark ages of the Internet—say, around Y2K—financial advisor web sites were as primitive as Fred and Wilma Flintstone’s Bedrock home.  Yes, they ... Read more

Deciding which broker-dealer (BD), financial marketing organization (FMO), or registered investment advisor (RIA) with whom to affiliate is never a trivial matter. Typically, financial advisors ... Read more

As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can ... Read more