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

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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 PIABA Bar Journal.

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Published In: Alternative Dispute Resolution (ADR) Updates, Business Torts Updates, Finance & Banking Updates, Professional Malpractice Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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