Rhett Owens

Rhett Owens

Burr & Forman

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Reverse Churning: Don't Fall Asleep at the Wheel

It is obvious that broker-dealers and their registered representatives, and investment advisors, must be careful in making recommendations to clients. But the recent increase in regulatory interest relating to inaction in a...more

7/11/2014 - Broker-Dealer Fiduciary Duty FINRA Investment Adviser Reverse Churning SEC

Reverse Churning

It is obvious that broker-dealers and their registered representatives, as well as investment advisors, must be careful in making recommendations to their clients. But the rise of claims related to inaction in a client...more

7/3/2014 - Broker Commissions Broker-Dealer Churning Fiduciary Duty FINRA Investment Adviser OCIE SEC Securities Transaction Fees

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