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Placing Client Interest before Self-Interest
Staff Writers
We are taking an informal poll, and are asking two key questions of financial intermediary modernity.
#1. As a financial advisor, regardless of designation, do you require a brokerage arbitration agreement; or not? Why or why not?
#2. Does this document place client interest first – as in a true fiduciary relationship – at all times? Please explain your rationale.
#3. Regardless of your philosophy – pro or con – regarding the use of arbitration agreements, do you give clients the option of selecting a fiduciary relationship; or not? Is it in writing?
Conclusion
And so, your thoughts and comments on this Medical Executive-Post are appreciated. Please respond; clients, doctors, laymen and FAs; etc. Is this query the ultimate “F” bomb?
Speaker: If you need a moderator or speaker for an upcoming event, Dr. David E. Marcinko; MBA – Publisher-in-Chief of the Executive-Post – is available for seminar or speaking engagements. Contact: MarcinkoAdvisors@msn.com or Bio: www.stpub.com/pubs/authors/MARCINKO.htm
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Filed under: "Advisors Only", Career Development, Ethics, Investing, Point-Counter Point, Research & Development, Voting Polls | Tagged: arbitration agreements, CFP, CMP, CPA, FA, fiduciary, IA, stock broker | 7 Comments »
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