DOL Investigations: Broker-Dealers and RIAs as Targets
Together with Bruce Ashton and Summer Conley, I have authored an article titled “DOL Investigations: Broker-Dealers and RIAs as Targets.” To see the full text of the article, click on the link included here: http://www.drinkerbiddle.com/resources/publications/2011/dol-investigations-broker-dealers-and-rias-as-targets In the article we discuss that in recent months, we have heard of at least eight, and been involved in […]