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SEC’s OCIE announces 2019 Examination Priorities

SEC’s OCIE announces 2019 Examination Priorities

On December 20, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the U. S. Securities and Exchange Commission...

Why should I use a Revocable Trust?

Why should I use a Revocable Trust?

It is not uncommon that a client will ask me about creating their estate plan using a traditional will.  My...

Why and How to Avoid Probate

Why and How to Avoid Probate

There are a lot of good reasons to have a comprehensive estate plan, which can range from making sure that...

SEC fines Robo-Advisers

SEC fines Robo-Advisers

One of the trends in the investment advisory field is the use of “robo advice”, which basically is an automated,...