John G Rich

April 10, 2019 | New York Law Journal

A major trend in the investment advisory world has been the flight of brokers or advisors from the large wirehouse firms to small SEC or state Registered Investment Advisory firms. This article describes some of the forces driving this trend, and the legal implications for investors who may in future have claims against such brokers and their new firms relating to the handling of their investments.

By John G. Rich

8 minute read