Independent Advisor Stumbles:
Few Stumbles But Including Stanford Financial Group

Recently Released!!!
Date Published: July 7, 2015
Summary Power Point Deck: 53 Slides
Reference Power Point Deck: 873 Slides

The purpose of this research is to provide readers with an initial understanding of independent advisor stumbles and their impact on the financial services industry, various products & services, various markets & distribution channels, and specific financial services firms. This research addresses prominent independent advisor stumbles such as the custodians paying fee-based financial advisors for assets scandal and the Stanford Financial Group scandal.

Independent advisor stumbles can be grouped into four phases, including:
  • Insurance Industry Stumbles Phase
  • Insider Trading Phase
  • Mutual Funds Industry Stumbles Phase
  • Ponzi Schemes Phase

Independent advisor stumbles can be defined to include dozens of stumbles, including:

  • Custodians Paying Fee-Based Financial Advisors for Assets
  • Stanford Financial Group
  • Buckets of Money

This research supports three conclusions for independent advisor stumbles, including:

    • The Continuation of Sub-Standard Industry Ethics
    • Hedge Funds, Investment Banks, Retail Banks, & Insurance Companies Continue to be the Most Frequent Repeat Offenders
    • Limited Historical Regulator Enforcement Success with the Emergence of Rock Star Enforcers

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