In my duties as a legal counsel who represents advisors, I often get asked by these very advisors why I suggest that the client signatures on the know-your-client (KYC) forms they’ve completed were ...

An advisor forged his client’s signature on checks he lifted from her home as part of a five-year fraud scheme netting nearly $1 million, according to the FBI. Processing Content “You know, it starts ...

Landing that first client feels like a major milestone. The project details are ironed out, the scope is clear, and both parties are ready to move forward. But before any work begins, there's one ...