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You are here: Home / Archives for Darren Fogarty

Darren Fogarty

Sanderson Wealth Management

By Darren Fogarty on January 31, 2021

Sanderson Wealth Management 50 Fountain Plaza, Suite 750 Buffalo, NY 140202 Justin Sanderson, VP and Chief Compliance Officer (716) 566-2522 justin@sandersonllc.com www.SandersonLLC.com Services Comprised of a full suite of services including investment consulting, financial management consulting, business succession planning, estate and generational wealth planning, tax consulting, and philanthropic consulting, our Private Wealth Advisers offer a […]

Massachusetts is considering its own investor protection rule. Brokerage and insurance groups oppose it

By Darren Fogarty on January 27, 2020

Broker-dealer-old-couple

Massachusetts is looking to enforce an industry-wide fiduciary standard within its own borders. Will other states follow?

SEC Investor Roundtables Reveal Investors Often Do Not Understand Form CRS

By Darren Fogarty on September 17, 2018

Jay Clayton

The SEC’s own Investor Roundtables clearly demonstrate that not even well-educated professionals can understand Form CRS.

Financial Firms’ Steps Toward Fiduciary Are Significant; Are They Enough and Will They Stay Intact?

By Darren Fogarty on June 12, 2018

Darren M. Fogarty

In 2016 and 2017, the Consumer Federation of America reported in three separate comment letters that 34 financial firms changed their products and/or product offerings to comply with the DOL Fiduciary Rule. They did so against a backdrop of industry criticism that the Rule would be harmful not only to their own business models, but to their customers and clients as well. Some of the very same firms heftily contributed to that backdrop. However, in announcing their new products and offerings, many of these same firms reversed their position on the impact on investors. Now, they believe such changes are overdue, prudent, and beneficial to customers. Why the switch? And will such product improvements survive the recent vacatur of the DOL Rule? Time will tell.

How Mere Presence and Mandatory Waiting Periods Affect Consumer Decisions with Disclosures

By Darren Fogarty on April 5, 2018

Book-case

By Darren M. Fogarty — The mere presence of an observer, while an individual is reading a disclosure, can impede their ability to make informed decisions, while mandatory waiting periods have a positive effect on consumers’ ability to make informed decisions.

Mark Tibergien, CEO of Pershing Advisor Solutions

By Darren Fogarty on September 21, 2017

Mark Tibergien

In an interview with Barron’s published in the Wall Street Journal on Tuesday, September 19, 2017 by Cheryl Winokur Munk, Tibergien answers a few questions about the future face of the RIA Industry.

Institute & Industry Leaders

 

Chris Cannon, board member of the Institute's Real Fiduciary™ Practices and CFA Society Orlando, interviews Boston University Professor of Law Emerita, Tamar Frankel.

Frankel explains what led her to spend her career focusing on fiduciary law, what it means to be a fiduciary, and what conflicts of interest exist within the advisory space. She then offers her thoughts on what regulators should do to help eliminate these conflicts.

Carolyn McClanahan

 

"With the advent of 401(k)s and the decimation of pension plans to ensure financial security in old age, a fiduciary standard is more important than ever. The public needs to be confidant that advisors helping them plan for their retirement years always and only act in their best interest as a fiduciary. I'm happy to endorse organizations such as the Institute for the Fiduciary Standard that promote protections for those who need to secure their financial future."

- Carolyn McClanahan, Founder of Life Planning Partners

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