Results for "Ask the Ethicist"
Displaying 30 results
November 21, 2016
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...
September 30, 2016
For the last year whenever I spoke to groups of CFP professionals across the United States I conducted an informal survey of the audience's preferences in the upcoming presidential election. I use a tool that allows participants to answer anonymously...
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...
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...
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...
May 5, 2016
This month's question comes from an adviser who has a tough client issue. Q: I need your opinion about how to handle a disgruntled client who still owes me part of my planning fee. The client is an elderly woman who came to me after trying to...
April 10, 2016
This month's question comes from an adviser whose client — and old friend — made an unethical request behind his spouse's back. Q: I am a CFP professional and provide financial planning advice and investment management assistance to my former...
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...
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...
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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