This month's question concerns a woman who worked for many years in wealth management before retiring to an hourly consulting practice. Now she's thinking of returning to the workforce at a registered investment adviser firm.
Q: I worked for many years at one of the leading wealth management firms.
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In his first Ask the Ethicist column, he set out what he calls the essential truth of ethics: 'We know what is right if we stop to give it some thought.'
A lawsuit that a client filed against her financial adviser reads like a soap opera.
Two planners had a role in arranging a business owner's insurance policy, and one is not happy with how the compensation was handled.
An elderly relative experiencing cognitive decline has accused the adviser of stealing from her.
The CFP Board's revised standards reinforce its requirements limiting the use of the term "fee-only" to situations in which fees are the sole method of compensation.
