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SEC Faces Second Lawsuit Over Reg BI, This Time from Fee-Only Financial Planners
AskTomClark.com
Sept. 12, 2019 "[T]he claims are similar enough as those brought by the states and it is likely the cases will be consolidated.... [We] can expect to see additional lawsuits brought (and maybe/probably in different court(s)). Missing from the mix thus far are consumer protection groups who will seek to represent the views of the customers who purchase advisory services." MORE >> |
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