Articles Posted in Broker

Investor Confusion from Misleading Brokerage Industry Advertising – When is Your Advisor a Fiduciary?
Samuels Yoelin Kantor LLP

On March 25, the Public Investors Arbitration Bar Association (PIABA) released its study of confusing advertising messages by major broker-dealer firms like Allstate, UBS, Morgan Stanley, Berthel Fisher, Ameriprise Financial, Merrill Lynch, Fidelity Investments, Wells Fargo, and Charles Schwab. While these firms advertise that they put their clients’ interest first, excerpts from FINRA arbitration filings…

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