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SEC Commissioner Gallagher: Fiduciary Debate Biased Against Brokers
ThinkAdvisor 
May 12, 2014
"The current debate over whether the [SEC] should write a rule to put brokers under a fiduciary mandate is 'not fair right now' because of a mismatch in exam data between brokers and advisors, SEC Commissioner Daniel Gallagher [said] ... 'An astounding 20% of the 600,000-plus actively licensed registered representatives have between one and five disclosures for items such as customer complaints, regulatory violations, terminations, bankruptcy, judgments and liens,' Gallagher noted.... 'At the firm level, 17% of broker-dealers had more than six total disclosures, and 5% had more than 20 disclosures.'"
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