Securities Alternative Dispute Resolution (ADR) Professional Malpractice

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
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The Map of the Iceberg of Toxic Foreclosure

When it comes to foreclosure, particularly those involving a mortgage sold to a trust, the media has reported all kinds of irregularities and improprieties. I thought it would be interesting to do a table of who might be...more

Caveat Consiliator: Let The Adviser Beware -- Imposing Fiduciary Duties on Fee-Based Financial Professionals

The author argues that fee-based financial professionals (i.e., stockbrokers, financial advisors, financial planners) should be subject to per se fiduciary duties. The article was published in the Spring 2007 edition of the...more

Caveat Consiliator

This article was published in the Spring 2007 edition of the PIABA Bar Journal. The author argues that fee-based investment advisors should be subject to per se fiduciary duties....more

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