FINRA/SEC Regulations Being Enforced —A.U.M.™ LIVE for financial advisors

from A.U.M. - Ask Us Marketing™ · host Savvy Advisor Marketing

What's worse than reading "Go directly to jail. Do not pass Go, do not collect $200" during Monopoly? Reading "As a result of our examination, FINRA has elected to refer this matter to FINRA's Department of Enforcement." Cue the pit in the bottom of your stomach.In this FPA sponsored A.U.M. - Ask Us Marketing™ episode, hosted by advisor marketing firm Kalli Collective, we'll get the lowdown on the litigation trends that special guest Andrew Shedlock, J.D., of Kutak Rock has noticed this year—and what you can do to protect yourself.

Episode metadata supplied by the publisher feed · Published Feb 10, 2025

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FINRA/SEC Regulations Being Enforced —A.U.M.™ LIVE for financial advisors

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