Full-Service Brokerage Firm Stumbless:
A Moderate Number of Stumbles, Including Mutual Fund Break Points & Reverse Churning
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Date Published: March 19, 2020
Summary PowerPoint Deck: 57 Slides
Reference PowerPoint Deck: 925 Slides
The purpose of this research is to provide readers with a comprehensive understanding of full-service brokerage firm 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 full-service brokerage firm stumbles such as the mutual fund break points scandal, the mutual funds sales contests scandal, & the fee-accounts & reverse churning scandal.
Full-service brokerage firm stumbles can be grouped into four phases, including:
Date Published: March 19, 2020
Summary PowerPoint Deck: 57 Slides
Reference PowerPoint Deck: 925 Slides
The purpose of this research is to provide readers with a comprehensive understanding of full-service brokerage firm 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 full-service brokerage firm stumbles such as the mutual fund break points scandal, the mutual funds sales contests scandal, & the fee-accounts & reverse churning scandal.
Full-service brokerage firm stumbles can be grouped into four phases, including:
- Insurance Industry Stumbles Phase
- Insider Trading Phase
- Mutual Funds Industry Stumbles Phase
- Ponzi Schemes Phase
Full-service brokerage firm stumbles can be defined to include dozens of stumbles, including:
- Mutual Fund Commissions Disclosure
- Mutual Fund Break Points
- Mutual Funds Sales Contests
- Fee-Accounts & Reverse Churning
- Forgivable Loans
- Provident Royalties & Medical Capital
This research supports three conclusions for full-service brokerage firm 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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Tiburon members can download the summary or reference PowerPoint presentation, view the most recent Tiburon Webinar featuring Tiburon's Managing Partner (or another Tiburon team member), and/or listen to the most recent Tiburon podcast featuring Tiburon member CEO guests by clicking on the buttons below:
Non-Tiburon Members:
Non-Tiburon members can either become Tiburon members or subscribe to this specific Tiburon Research by clicking on one of the buttons below:
Media Members:
Members of the media who would like access to this Tiburon Written Research, Tiburon Webinar, and/or Tiburon Podcast should send an email to Sarah Sage using the button below:
