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Non-Fiction

in2herbs

(3,245 posts)

5. You wrote: "Don't financial advisors have certain legal fiduciary responsibilities and obligations?" The

Reply to Mike 03 (Reply #4)

Sun Nov 24, 2024, 11:18 AM

Nov 24

answer is yes and that compliance with includes ethics, rules and procedures established by the SEC. Yet, the SEC failed in requiring my financial advisor's compliance and, instead, allowed the theft. Does the oversight responsibility then fall to Congress??

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Is It Really Your Money? [View all] in2herbs Nov 24 OP

Thats why you only hire a fee-paid advisor & do the investing on your OWN Callie1979 Nov 24 #1

That is not possible to do when the investment starts with a company sponsored 401K. nt in2herbs Nov 24 #2

I never used my company; I invested on my own. Callie1979 Nov 24 #3

Intriguing Mike 03 Nov 24 #4

You wrote: "Don't financial advisors have certain legal fiduciary responsibilities and obligations?" The in2herbs Nov 24 #5