Understanding Borderline Personality Disorder in Family Law Cases Research compiled by SMA Institute: Young children are highly sensitive to other people’s emotions, particularly those of their family members. Witnessing scenes of verbal or physical violence and discord has direct negative effects with long-lasting consequences. Similarly, children who experience parental abuse Read more…
“In a case that turns on the adequacy of conflict-of-interest disclosures, the SEC inexplicably excludes many relevant disclosures,” Cetera Advisors and Cetera Advisor Networks wrote in a partial motion to dismiss claims the SEC filed in U.S. District Court for the District of Colorado in August. “In particular, the SEC Read more…
Last week, investors’ attorneys went on the offensive in trying to snuff out advisors’ ability to expunge frivolous investor complaints. Through their captive non-profit foundation, the Public Investor Arbitration Bar Association (“PIABA”) released a 29-page document purporting to be the Foundation’s “Study” into FINRA’s customer dispute expungement process. As a Read more…
My first consulting job started by mistake with Montauk Securities when I was hired as a producing National Sales Manager. It was an ego move for a bigger title and not much more money and in the ended it became my job to help resuscitate its bad business model and Read more…
My second book is due out in November but already planning a follow-up for 2020 that will include contributing authors. You may want to hear about the process. I’ll warn you if you’re in the financial industry and want to be “personally entrepreneurial” there are challenges. I had an inactive Read more…
How did WSJ get a Jeff Bezos private text message? Someone close to the story seeking justice and not unlike the way we acquired this confidential industry email to Attorneys at Law who support those working in the securities industry and who are falsely discharged. We start with a former Read more…
In the next several weeks we will examine a culture of oppression and its history at Cetera under Robert Moore, and how it trickled down to First Allied Securities and alleged rule violations. From Documents we attained, publicly available records, and sources close to the story we will uncover how Read more…