The stories featured are composite characters based on the analysis of hundreds of case studies. As an industry leader with big Wall Street companies and CEO at a behavioral finance firm, I conducted years of research into cognitive influences that positioned people to attain wealth—in their own ways—with internal focus Read more…
Why are U5 termination disclosures now making it so difficult for advisors? Those with this type of disclosure are asking us what changed and why they now have so few options. The short answer is to read the recent proposed Rule change regarding Rule 4111. For years FINRA 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…
Brooke’s Note: There is something mercenary about the way that the former insurance broker-dealers get bought, sold, spruced up and staffed. The (formerly ING) Cetera and (formerly AIG) Advisor Group entities are equal parts grand rafts of human financial advisory potential and leftover insurance broker culture that meant not only 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…