Although Cuban’s fight with the SEC is finished, financial advisors can learn a lot from it….
If you are called to testify in front of a jury on behalf of your client, there are some key things to remember, says Abikoff, who declined to speak specifically about the Cuban litigation. He says that if an advisor is surprised by a subpoena, he or she is already in trouble. Preparation for possible legal action should begin long before that dreaded piece of certified mail arrives, he adds.
‘Enforcement 40’ for 2020
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