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Investment › Employee Benefits › Investor Protection

Carlton Fields

Everyday Investor Participation in Private Strategies: What Role for Investor Advocate in SEC Drama?

Carlton Fields on

The SEC is under pressure to increase direct or indirect participation by everyday “retail” investors (consisting primarily of those who do not qualify as “accredited investors” under SEC Regulation D) in certain investment...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

When Your 401(k) Financial Advisor May Have To Be Fired

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

401(k) financial advisors are often handicapped by the fact that the nature of their position requires them to have an ERISA background when they don’t. It’s hard to fake an ERISA background when you don’t and it’s pretty...more

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