Newman Ladd Capital Advisors Fined by the SEC

A man holds a tower of blocks with the word Rules from falling. Setting clear rule and restrictions. Leadership and discipline. Authoritarianism, tight control framework. Norms and laws in society

The Securities and Exchange Commission (SEC) announced a fine of Newman Ladd Capital Advisors for failure to comply with SEC regulations.  According to the Order, Newman Ladd was required to file its initial Form CRS and begin delivering this Form CRS to prospective and new investor clients by June 30, 2020.  The firm failed to […]

What to Do If Your Financial Advisor Screws Up


A financial advisor has a fiduciary responsibility that obligates him or her to act in the best interests of the investor, with complete transparency, and in good faith. Violations of fiduciary duties are grounds for complaints. One of the essential elements of acting in good faith is to follow the investor’s instructions completely. Ultimately, the […]