2005 Compliance Financial Advice Financial Services 
The Big Picture
APRIL 25, 2023
Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.
The Big Picture
MAY 16, 2023
RITHOLTZ: 2004, 2005. RITHOLTZ: 2005. So I was very heavy in financial services stock, which was a great lead gen engine. Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. LINDZON: This is not financial advice. LINDZON: Yes. Not really.
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