fiduciary standard

Arbitration for Aggrieved Investors Is Fast -- But Is It Fair?

Arbitration for Aggrieved Investors Is Fast -- But Is It Fair?

The arbitration clause can be found in virtually all the account opening documents used by registered broker-dealers. Maybe your financial advisor or stock broker pointed it out to you — maybe not. Chances are extremely good, however, that you signed this clause and are now bound to resolve any disputes through arbitration.

SEC's New Best Interest to Protect Investors from Bad Brokers

SEC's New Best Interest to Protect Investors from Bad Brokers

The Securities and Exchange Commission (SEC) adopted a rule to protect investors from bad brokers. The “Regulation Best Interest” (or BI) is the SEC’s answer to the Obama administration’s planned “fiduciary rule,” which the Trump administration killed. But will the Best Interest rule really be in the best interest of investors?

Is the Broker "Best-Interest" Rule in Your Best Interest?

Is the Broker "Best-Interest" Rule in Your Best Interest?

Investment advisors and financial advisors are held to different standards of accountability when it comes to the investments they make on behalf of clients. Investment advisors have long been held to what is called the "fiduciary standard." Find out what the difference means for you and your money.