Independent Advisor Stumbles:
Few Stumbles But Including Stanford Financial Group
Recently Released!!!
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 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:
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 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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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:
