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White Papers

July 16, 2018
Published by Compliance Risk Concepts at July 16, 2018
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Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- […]
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August 2, 2018
Published by Winget, Spadafora & Schwartzberg, LLP at August 2, 2018
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Potential Claims Related to LJM Preservation and Growth Fund Collapse

In recent months, Winget Spadafora & Schwartzberg, LLP (“WSS”) has been engaged by numerous insurance E&O carriers, broker-dealers and their registered representatives, and registered investment advisors […]
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October 14, 2018
Published by Lilian Morvay at October 14, 2018
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Millennial Marketing—Why It’s Vital and How to Shape It

While millennials in general may not be hot prospects, the young adult children of your clients are another matter. If you want to keep managing that […]
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April 16, 2019
Published by Lilian Morvay at April 16, 2019
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Changing Firms? Five Issues to Consider

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