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[By Anonymous]
Are the US Securities Acts the Ultimate “Terminology” Fraudster?
As a doctor and investor, I have learned thru the internet that Larry Elford, an Investment Misconduct and Malpractice Consultant – and many others – believe that the ultimate terminology fraudster is the US Securities Acts (1935 & 1940) and the Investment Adviser Act. Why?
They have no such category as “advisor” in the Acts.
Industry lawyers know this well, as does FINRA, and may be using this “spelling ruse” to dupe and deceive millions of Americans into believing that their commission sales “broker” is some kind of fiduciary “adviser” professional.
Some even believe it to be an industry pandemic of “bait and switch” to deceive and then shortchange investors.
Source: http://www.investoradvocates.ca/viewtopic.php?f=1&t=193&sid=1cc2690bde2ebdfaa749be1d35395083#p3867
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VIDEO: Here is an under 2 minute glimpse into the Three Card Monte game being played, upon investors, when your Securities Commission proudly tells you to “check your “adviser’s” registration”.
Link: https://youtu.be/zIjt0qRsJKg
Assessment
Is this a mere lexicon conundrum; or truer pathology?
And, did you know that a Certified Medical Planner® is a client fiduciary at all times? Visit: http://www.CertifiedMedicalPlanner.org
Conclusion
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OUR OTHER PRINT BOOKS AND RELATED INFORMATION SOURCES:
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- ADVISORS: www.CertifiedMedicalPlanner.org
- FINANCE: Financial Planning for Physicians and Advisors
- INSURANCE: Risk Management and Insurance Strategies for Physicians and Advisors
- Dictionary of Health Economics and Finance
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[PHYSICIAN FOCUSED FINANCIAL PLANNING AND RISK MANAGEMENT COMPANION TEXTBOOK SET]
[Dr. Cappiello PhD MBA] *** [Foreword Dr. Krieger MD MBA]
Front Matter with Foreword by Jason Dyken MD MBA
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Filed under: Ethics, Investing, Risk Management | Tagged: CMP™ Course, financial fiduciary, FINRA, Investment Adviser Act, Larry Elford, US Securities Acts |
The Leading Business Education Network for Doctors, Financial Advisors and Health Industry Consultants 
FINRA names new CEO to replace Ketchum
Robert W. Cook, the former director of the division of trading and markets for the SEC from 2010 to 2013, will take over the reins of FINRA, as current CEO Richard Ketchum is slated to retire later this year.
Dr. David Marcinko MBA
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