The number of pro bono legal clinics for retail investors harmed by bad investment advice has fallen dramatically over the past decade, leaving many small-dollar claimants to face arbitration panels alone or, more often, do nothing at all.
A proposal being circulated inside Wall Street’s main regulator would require that brokers in fixed-income and some derivatives—as well as those handling equities—get their clients the best deal.
Wayne Dahl and Danielle Poli, co-portfolio managers at Oaktree Capital, describe how investors can seize opportunity and mitigate risk in today’s credit market.
This live, interactive webinar on December 1st is designed to provide guidance for advisors who are looking to understand the marketing strategies and tactics that are the most important to drive growth - and will also provide a first look at the 2022 Study of Advisor Marketing.
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