Broker Check

Investor Protection

New regulations were rolled out in 2019 affecting investors-especially the so-called Reg BI. The two articles appearing on this page are reprinted from the NAPFA Advisor magazine. They are written by two of the best watchdogs I know. After reading these articles, you will come away with a better understanding of why it is critical to insist that your advisor sign a fiduciary oath.  

Investors must learn to protect themselves.

The following article appeared in the September 2019 issue of the *NAPFA Advisor* published by the National Association of Personal Financial Advisors. With more than 3,700 members across the country, NAPFA is the leading professional association in the United States dedicated to the advancement of Fee‐Only, fiduciary financial planning. Learn more at

Article: How to Protect Investors When the SEC Won't

Article: Regulation Best Interest