In this video series, attorney Joel Beck discusses ten mistakes you want to avoid in your estate planning. In this episode 2, Joel discusses the mistake of not “hiring” the right people to serve in important roles such as executor, trustee, guardian, healthcare agent, and attorney in fact (agent under a power of attorney). But […]
FINRA recently released their 2019 report on exam findings. The report highlights several deficiencies found by the regulator, and firms can use this report to assess the strengths and weaknesses of their own WSPs and supervisory systems to help avoid some exam problems.