The Australian financial planning sector has seen recent regulatory changes introduced to
address misconduct. One such introduction surrounds increased levels of mandatory …

The financial advisory industry in the USA lacks professional standardization/regulation.
There are few guideposts to assess adviser quality, and risks to consumer welfare abound …

Using a unique misconduct scoring method, we explored the relationship between
professional designations and public record misconduct for securities-licensed financial …

Using a unique dataset of FINRA-licenced individuals in Florida in 2015 that was enriched to
include job classification information generally not contained in publicly-available regulatory …

Consumer perceptions of industry corruption influences with whom and how they are willing
to engage. This study explores the intersection of financial advisors' gender and consumers' …

This chapter unearths one of the most perplexing aspects of realizing your financial goals:
selecting an honest and expert financial advisor who looks out for you. The task is easier …

In the United States, Registered Investment Advisor firms have a legal and arguably moral
duty to provide advice in the best interest of their clients. However, advisors sometimes fall …

This study analyzed the CFP® Board's anonymous case histories (ACH) for the ethical use
and misuse of compensation disclosures on the CFP Board's “Find A CFP Professional” tool …

Among other things, Jeff Camarda PhD, EA, CFA is the founder and Chief Executive Officer
of Camarda Wealth Advisory Group (“CWAG”), an investment adviser registered with the …

The research underpinning this article was to investigate how comfortable financial advisors
of different genders are when asking their clients questions of a sensitive nature and to offer …