Fiduciary Duties of Trustees in the Age of COVID
Wealth Management
SEPTEMBER 7, 2022
Court finds that trustee failed to carry out contractual obligations
Fiduciary Duty Related Topics 
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Fiduciary Papers #3: Attorneys as Financial Advisors: Resources for Aiding in the Establishment of Your RIA Firm
Ron A. Rhodes
MARCH 11, 2022
Fiduciary Duties and RIA/BD Regulation Personal Development and Student Success ARGI ARGI FINANCIAL GROUP ARGI Investment Services ATTORNEYS fiduciary FIDUCIARY PAPERS Professor Money Bear Professor Money Bear; Money Bear; The Fiduciary Papers RIA Ron RhoadesAttorneys and law firms often consider starting a financial services practice.
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New Lawsuits Threaten the Target Date Fund Industry
Advisor Perspectives
SEPTEMBER 15, 2022
These lawsuits open the door to a related and scandalous breach of fiduciary duty – excessive risk A new wave of lawsuits alleges that Blackrock’s target date funds (TDFs) have underperformed.
Dell Technologies to pay $1 billion settlement in suit stemming from 2018 Class V stock deal
MarketWatch
NOVEMBER 16, 2022
The plaintiffs generally alleged that the director defendants and the stockholder defendants breached their fiduciary duties under Delaware law to the former holders of the Class V common stock in connection with the Class V transaction by offering a transaction value that was allegedly billions of dollars below fair value," according to a filing. Dell Technologies Inc.
F45 Training says it'll study buyout offer, stock dips after rally
MarketWatch
OCTOBER 3, 2022
On Monday, F45 confirmed it received the non-binding buyout offer and said it'll evaluate it as part of its fiduciary duties as it "pursues the course of action it determines to be in the best interests of the company and its stockholders," the company said. F45 Training Holdings Inc. shares dipped 1.3% in premarket trades on Monday after rocketing 41% on Friday, when Kennedy Lewis Management LP offered to take the small-cap fitness studio operator private for $4 a share in cash.
How to Choose a Personal Financial Advisor
Park Place Financial
SEPTEMBER 8, 2022
A key indication of an advisor’s dedication to acting in the client’s best interest is the mention of fiduciary duty. Some advisors do not observe fiduciary duty but are bound to a suitability standard. Are they fiduciary?
INDUS Realty Trust stock jumps after receiving cash buyout bid at a more than 13% premium
MarketWatch
NOVEMBER 28, 2022
Consistent with its fiduciary duties and in consultation with its financial and legal advisors, the company's Board of Directors will carefully review the proposal to determine the best path forward for the company that maximizes value for all of the company's shareholders," INDUS said in a statement. Shares of INDUS Realty Trust Inc. shot up 10.0%
Tax and Financial Planning Ideas For 2023
Park Place Financial
JANUARY 9, 2023
Park Place Financial adheres to its fiduciary duty to put clients’ needs above our interests. FINANCIAL PLANNING Tax and Financial Planning Ideas For 2023 Schedule a Complimentary Financial Review CLICK HERE TO SCHEDULE.
What Is a Fiduciary?
Carson Wealth
JANUARY 14, 2023
CFP ® , Director of Consumer Investment Research Being a fiduciary is holding a duty to a client that a financial advisor will act in the best interests of the client rather than the best interests of the advisor, the advisor’s employer, or any other entity. This may sound simple.
5 Ways to Catch Up on Retirement Planning Later in Life
Park Place Financial
NOVEMBER 29, 2022
Since we observe our fiduciary duty, you can trust you will receive the utmost transparency when you partner with our team. . Retirement Planning 5 Ways to Catch Up on Retirement Planning Later in Life Schedule a Complimentary Financial Review CLICK HERE TO SCHEDULE.
Structured Product Benefits
Park Place Financial
NOVEMBER 29, 2022
At Park Place Financial, we observe our fiduciary duty to always act in our client’s best interest, meaning you will receive the utmost transparency whenever you rely on us for financial.
How to Calculate How Much You Need to Retire
Park Place Financial
SEPTEMBER 30, 2022
Park Place Financial observes its fiduciary duty to act in our client’s best interest, putting your needs above our profits. Retirement Planning How to Calculate How Much You Need to Retire Schedule a Complimentary Financial Review CLICK HERE TO SCHEDULE.
The SEC’s Own Compliance Culture
Inside Information
APRIL 28, 2022
Like fiduciary, for example. Recently, we heard compelling evidence that the SEC wants to downplay the fiduciary concept among the organizations it regulates. Using phrases such as “an investment advisor who is held to the fiduciary standard” is likely to be inappropriate and misleading.” We might argue that no advisors we know are holding themselves to a fiduciary standard in order to achieve some kind of marketing advantage over the brokerage office down the street.
How to Lower Your Financial Advisor Expenses
WiserAdvisor
JUNE 12, 2022
Ensure that the financial advisor is bound by fiduciary duty. A fiduciary refers to an individual who acts in your best interests at all times and is legally bound to place your interests before their own.
Estate Planning in this Economic Climate
Park Place Financial
NOVEMBER 29, 2022
Our team utilizes financial strategies backed by hard-date and academically validated principles and adheres to our fiduciary duty in all dealings. Estates Estate Planning in this Economic Climate Schedule a Complimentary Financial Review CLICK HERE TO SCHEDULE.
ESG: Virtue or Vice? Wrong Question.
Brown Advisory
JANUARY 3, 2023
But that desire has been criticized for running afoul of the concept of fiduciary duty–in simplified terms, the duty to act in a client’s best interests at all times. 1 Isn’t this a fiduciary’s responsibility, over the long term, to its pension beneficiaries?
ESG: Virtue or Vice? Wrong Question.
Brown Advisory
JANUARY 3, 2023
But that desire has been criticized for running afoul of the concept of fiduciary duty – in simplified terms, the duty to act in a client’s best interests at all times. 1 Isn’t this a fiduciary’s responsibility, over the long term, to its pension beneficiaries?
Is Robinhood Safe?
Good Financial Cents
JANUARY 10, 2023
SEC.gov (17th, December 2020) SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution ([link].
Investing in a Resilient Future: Our Role in Supporting the Climate
Brown Advisory
NOVEMBER 29, 2022
For our part, as an investment firm, we must view climate decisions through the lens of our fiduciary duty to generate attractive investment returns that help our clients achieve their goals over the long term. Investing in a Resilient Future: Our Role in Supporting the Climate.
Brown Advisory 2020 Sustainability Report
Brown Advisory
JUNE 18, 2020
General commitments to ethics and fiduciary duty. Brown Advisory 2020 Sustainability Report. ajackson. Thu, 06/18/2020 - 13:03. We are pleased to share Brown Advisory’s first corporate Sustainability Report.
The Importance of a Certified Financial Planner (CFP) for Your Financial Planning
WiserAdvisor
NOVEMBER 21, 2022
In addition to knowledge and experience, another noteworthy benefit a CFP brings to the table is that of being a trusted fiduciary. This is done to establish a fiduciary duty within the candidate and make them a reliable, upstanding member of the fraternity.
Three Qualities of a Successful Investment Adviser
Truemind Capital
SEPTEMBER 10, 2019
Fiduciary duty should be on the top of the mind of any genuine adviser. Your job is to find the right adviser and let her manage your portfolio based on the stated investment objective while you tend to your professional and personal duties & interests. 🔊 Play Audio.
Should you die and go to hell before selling an annuity?
Sara Grillo
NOVEMBER 14, 2022
Do advisors breach fiduciary duty when they fail to recommend annuities? Should the insurance companies themselves and/or others who provide marketing services and who assist advisors in marketing/selling annuities or insurance products also be held to the fiduciary standard? #1
4 Financial Concerns High-Net-Worth Individuals Face
WiserAdvisor
AUGUST 8, 2022
For instance, you can hire a fiduciary. Fiduciary duty mandates the advisor to keep your interests ahead of theirs. Financial planning for high-net-worth individuals can be a bit more complicated than the rest. High-net-worth individuals have a net worth of $1 million or above.
6 Tips to Avoid Financial Fraud and Guard Your Investments
WiserAdvisor
MAY 31, 2022
If you wish to learn and understand the different confidence schemes, fraudulent tactics, and trickery used by financial fraudsters, use WiserAdvisor’s free advisor match service to find highly qualified and vetted fiduciary advisors who can guide you on the same.
How the SEC Has Strayed From Its Mission
Inside Information
SEPTEMBER 28, 2021
If the petitions get traction, it could bring about huge shifts in the regulatory playing field for fiduciary advisors and Wall Street—and benefit financial consumers perhaps most of all. One of the XYPN petitions asks the SEC to greatly expand on its 2018 proposal to limit what brokers and registered reps are allowed to call themselves if they continue to refuse to register as RIAs and avoid bringing themselves under the fiduciary regulatory structure.
Sustainable Investing: Considerations for Trustees
Brown Advisory
SEPTEMBER 12, 2019
And recent IRS guidance has cleared the way for ERISA fiduciaries to incorporate mission-related investments more broadly in their portfolio strategies. To be sure, sustainable or mission-based investing is not inherently at odds with a trustee’s fiduciary duties.
The Other 95%
Brown Advisory
APRIL 16, 2018
This specificity helps guide the nonprofit’s board and investment committee members as they carry out their fiduciary duty. Specific Options for Sustainable Investment Portfolios Fiduciary Considerations for Program-Related and Mission-Related Investments. The Other 95%. achen.
Conversation with the Portfolio Manager: Sustainable Core Fixed Income Strategy
Brown Advisory
SEPTEMBER 15, 2017
This is particularly tricky for some of our clients, who serve on endowment or foundation boards that have a fiduciary duty to balance mission alignment with performance expectations. Conversation with the Portfolio Manager: Sustainable Core Fixed Income Strategy. achen.
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