S.E.C. Warns Customers and Financial Advisors Regarding Overstated Credentials
6/8/15
By: John H. Goselin, II
They say everybody does it. Embellishing your resume to get a job, attract business or get ahead in this highly competitive world. Well, if you work in the financial services industry and are trying to …
BlackRock Advisors LLC and its Chief Compliance Officer Slapped for Failing to Properly Handle Conflicts of Interest Issues
4/28/15
By: John H. Goselin, II
Conflicts, conflicts as far as the eye can see! On April 20, 2015, the Securities and Exchange Commission announced a settlement with BlackRock Advisors LLC and its chief compliance officer arising from a failure to …