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Defended a dually registered broker-dealer and investment adviser in a two-year Department of Labor investigation of compensation and sales practices, resulting in no action by the DOL.

ClientLarge Independent broker-dealer and investment adviser firm
Description
Defended a dually registered broker-dealer and investment adviser (which is a subsidiary of one of the country's largest insurance and investment companies) in a two-year Department of Labor (DOL) investigation regarding compensation and sales practices in ERISA and retirement accounts. DOL closed the case without taking action.

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click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Defended a dually registered broker-dealer and investment adviser in a two-year Department of Labor investigation of compensation and sales practices, resulting in no action by the DOL.
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