Regional Vice President of Sales The Retirement Plan Company
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Compass
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Bates & Company, Inc.
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Loan & Distribution Specialist AimPoint Pension
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AimPoint Pension
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Comments of Center for Ethics in Financial Services, to SEC on Duties of Brokers, Dealers and Investment Advisers (PDF)
Center for Ethics in Financial Services, The American College [Opinion] July 8, 2013 "With all respect, we are concerned that while your request for information asks for a lot of data -- much of which may not be readily available in useful forms based on confidentiality concerns, data aggregation issues, accessibility, or other factors -- the results may not inform your decision-making in the way you had hoped. It is easy enough to say that retail investors should be served by advisors who act solely in their best interest. Few could disagree with the sentiment or intent of broadly implementing such a standard. Unfortunately, it is much harder to determine what the practical result may be across all business models to consumer choice, access to advice, and product availability." |
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