Howard Diamond Quoted – AdvisorHub – The issue came up, only half facetiously, at Finra’s annual conference in Washington last week during a wide-ranging discussion of what broker-dealers can do to fend off regulatory criticism and enforcement action for hiring rogue brokers and failing to supervise bad behavior.
By Mindy Diamond – WealthManagement.com – When a financial advisor is contemplating a move to a new firm, they may question whether they should, or should not, disclose negative events from their past on Form U4. If there is ever any question about whether a disclosure to a prospective employer should be made, it’s almost always better to err on the side of caution and make the disclosure.
By Howard Diamond – When a financial advisor is contemplating a move to a new firm, there are times when questions arise as to whether he should or should not disclose negative events from his past on his Form U4. If there is ever any question about whether a disclosure to a prospective employer should be made, it is almost always better to err on the side of caution and make the disclosure. This is especially important in today’s hyper-vigilant compliance environment.
