Tide of ERISA Litigation to Continue
A new Supreme Court ruling may further open the door to ERISA fiduciary claims.
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Patterns of How the Financial Industry Tolerates Misconduct
A recent paper, The Market for Financial Adviser Misconduct (Journal of Political Economy, Publication Forthcoming), raises some important – and troubling – issues about how the financial industry treats advisers who engage in serious misconduct. The paper shows a number of different ways that adviser misconduct is concentrated – among repeat offenders, certain financial firms […]