October 15, 2014

Prohibited Transactions, Litigation & DOL Investigations of RIAs and Broker-Dealers


Bruce Ashton and Joan Neri will be speakers at the upcoming Center for Due Diligence Advisor (CFDD) Conference in San Antonio, Texas, on October 15 at a session entitled “Prohibited Transactions, Litigation & DOL Investigations of RIAs and Broker-Dealers”.  They will be discussing the fiduciary and prohibited transaction issues they have encountered while representing RIAs and broker-dealers, including their experience in handling DOL investigations. 

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