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Wealth Professional | 23 Sep 2015, 08:15 AM Agree 0
As regulators mount an increasingly wide search for rogue advisors, one retired industry professional believes they’re letting more egregious offenders slip through their nets
  • paul P | 23 Sep 2015, 10:39 AM Agree 0
    some good points, I would also like to see a crackdown on the number of part-time advisors, there are far too many that are working other fulltime jobs and doing advice and funds sales on a part time basis, I have to complete outside business activities reports for volunteer work, this should not be a part time option
  • Debbie | 23 Sep 2015, 10:44 PM Agree 0
    The last paragraph says it all! Bravo to this anonymous person, sad that he or she felt they needed anonymity.
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