Results for "Ask the Ethicist"

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Ethical considerations advisers need to think about before switching firms

September 7, 2016

This month's question comes from an adviser who wants to know the ethical considerations of moving to an independent RIA from a large bank. Q: I am thinking of leaving my current position with a large bank to establish a position as an independent...

What advisers need to consider before starting a separate business venture

August 3, 2016

This month's question comes from an adviser who isn't sure whether starting another business venture distinct from his planning practice prompts any ethical problems. Q: My financial planning practice is thriving. Each year sees 15% to 20% growth...

What an adviser should do when a client names them as a beneficiary in their will

May 31, 2016

The following question appeared on an adviser forum during the past month. I found the question interesting, so I made it the focus of this month's column. An adviser from Colorado asked for help on the following situation: “Recently, I was...

Trading insults with a bully rarely works

March 20, 2016

This month's question comes from an adviser who got heckled. QRecently, I was a panelist at a conference in Detroit along with three other advisers. The topic was “The Best Approach to Investing.” The subject generated great interest and...

Couple's divorce poses conflict for their adviser

February 5, 2016

Q: I got a call from a long-time client last week asking to schedule an appointment without her husband. I try to meet with married couples together, so I asked why she wanted to meet alone. She never has before. She told me that after 25 years...

What to do when a colleague's cognitive skills are deteriorating

January 8, 2016

As human beings we encounter ethical choices frequently as we go about our daily lives. Do we tell the clerk at the grocery store he undercharged us for the organic bananas when he mistook them for ordinary ones? Do we return the extra five...

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