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Retirement Plan Relationship Manager ERISA Services, Inc.
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Notice to Financial Advisers: State Regulators Are Enforcing the DOL Fiduciary Rule
Financial Services Employment Law, Epstein Becker Green 
Feb. 26, 2018 "The Complaint alleges that, although Scottrade added new policies to comply with the impartial conduct standards, Scottrade expanded the scale and scope of the sales practices that the new policies were designed to curtail.... The Complaint [further alleges] that Scottrade 'failed to take any meaningful steps to remove retirement assets from the scope of the contests or ensure compliance with the Fiduciary Rule.' " |
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