Sentences with phrase «fiduciary rule violations»
The Massachusetts decision to charge Scottrade with Department of Labor fiduciary rule violations shows the lengthy reach of the DOL rule.
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The Massachusetts decision to charge Scottrade with Department of Labor fiduciary rule violations shows the lengthy reach of the DOL rule.
Not exact matches
It states the DOL «will not pursue claims against fiduciaries who are working diligently and in good faith to comply with the fiduciary duty rule and exemptions, or treat those fiduciaries as being in violation of the fiduciary duty rule and exemptions.»
The trial court based Werth's liability upon negligence in failing to observe the existence of the second mortgage, breach of fiduciary duty, and unfair dealing in violation of the rules regulating brokers.