Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
James Iannazzo’s tirade in a Fairfield, Conn., smoothie shop was captured on video and viewed by millions. The CFP’s suspension comes after Iannazzo was arrested and charged by Fairfield police, and dropped by Merrill Lynch.
The Federation of Americans for Consumer Choice, a trade organization for insurance agents and agencies, argues that new interpretations in the rule have similar ramifications of the vacated Obama-era regulation.