Law Firms Legal Mutual Funds 
The Motley Fool
SEPTEMBER 12, 2023
If your financial planner is an investment advisor, mutual fund company, or transfer agent, you should file a complaint with the Securities and Exchange Commission (SEC) or your state securities regulator. Finally, it may also be a good idea to contact the professional organization your financial planner is a part of.
The Motley Fool
APRIL 17, 2024
Spent a few years at a big law firm here in DC, then I was back in Philadelphia, my home for a couple of years in the commercial litigation section of the City of Philadelphia, City Solicitors Office. I don't know how you think of yourself with the law as an investor. But of course, I learned about index funds.
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The Big Picture
NOVEMBER 14, 2023
There are a few people in the world who are more knowledgeable about the management of asset managers and what it’s like to actually run a global organization and interact with lots of aspects of the business of finance, whether that’s acquisitions or compliance, or dealing with all the legalities of multi-jurisdictional regulations.
Sara Grillo
APRIL 11, 2022
Hard to scale – You can hire a paraplanner to work for you just as law firms hire paralegals. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. How does an hourly financial advisor track their time?
The Big Picture
APRIL 25, 2023
He is the founder of MarketCounsel, which is one of the leading firms in that space, as well as the Hamburger Law Firm. And so, as advisors look to leave these big enterprises and go independent, one of the biggest things we need to train them on is the distinction between compliance, legal, and risk. HAMBURGER: Exactly.
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