Tag: suitability standard

Diminished Capacity and the Fiduciary Standard

Sometimes inaction is the right action (the fiduciary standard) when faced with an elderly prospect that presents signs of diminished capacity. A few weeks ago,...

Does the SEC’s “Revolving Door” Impact Investor Protection?

Securities law is a very specialized type of law. As a result, regulatory bodies such as the Securities and Exchange Commission (SEC) recruit securities lawyers...

Distinguishing True Independent Professional Advisors from Phantom Fiduciaries

This is Part 2 of a six part series on choosing a 401k plan advisor. While there are many independent professional advisors to whom a plan...

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