Securities Class Actions Landscape: Three Trends from H1 2020 for Wealth Managers
Cornerstone Research recently published its Securities Class Action Filings 2020 Midyear Assessment. This blog post distills some of the key findings from that report. All trends information and figures are attributed to Cornerstone Research and the Stanford...
Five Insights into the Advisor-Client Relationship during COVID-19
At the start of summer, we interviewed financial advisors and leaders at wealth management firms to learn how they were responding and adapting to these unprecedented times as highlighted in our blog post—Many Rivers to Cross: How Wealth & Retail Firms...
Financial Recovery Technologies releases class action website for wealth advisors
SecuritiesClassActionClaims.com - a free resource for advisors powered by Interactive Data’s Class Action Service will help clients address securities class actions
Financial Recovery Technologies, LLC (FRT), a leader in securities class action recovery,...
Increased pressure placed on investment advisor compliance officers
Chief compliance officers (CCO) of broker-dealers and investment advisory firms have seen increased scrutiny in recent years. In the wake of the Dodd-Frank Act, government regulators have increased their oversight of investment firms. The Securities Exchange...
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