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

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This article proposed that fee-based financial professionals should be subjected to mandatory fiduciary standards. In addition to providing background information about stockbrokers, financial advisers, investment advisers, and financial planners, the article also discusses the difference between standards that existed at the time of publication.

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Published In: Business Torts Updates, Consumer Protection Updates, Finance & Banking 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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