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How Scottrade's 'pain'-seeking sales tactics and 'cut-and-paste' lawyering allegedly led to breaching a DOL rule

Massachusetts securities cops seized on DOL rule clause still under delay and seeded effects for brokerage business that are pervasive and lasting

Author By Lisa Shidler March 1, 2018 at 1:08 AM
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Jason Roberts: What blew my mind is it’s one thing to evaluate your policies when you need to adopt them in the future, but it’s another thing to bake them into your manual.

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RIA Compliance

Stephen winks

Stephen winks

March 1, 2018 — 9:05 PM
The clash between transactions and advice has started. Brokers are awakening to their on going responsibilities and I enforced consumer protections for their retail clients. Scw
Stephen winks

Stephen winks

March 1, 2018 — 9:16 PM
The clash between transactions and advice has begin. Brokers a are awakening to their ongoing responsibilities and uninforced consumer protections accorded to retail investors. Scw

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Mentioned in this article:

Scottrade Advisor Services
Asset Custodian
Top Executive: Brian Stimpfl

Pension Resource Institute, LLC
Compliance Expert
Top Executive: Jason C. Roberts

Retirement Law Group, PC

Top Executive: Jason C. Roberts

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