Badges of Misconduct: Consumer Rules to Avoid Abusive Financial Advisers

Jeffrey Camarda, Steven J. Lee, Pieter De Jong, Jerusha Lee

Research output: Contribution to journalArticlepeer-review

Original languageEnglish
Pages (from-to)210-224
Number of pages15
JournalJournal of Financial Regulation
Volume9
Issue number2
DOIs
StatePublished - Oct 1 2023

ASJC Scopus Subject Areas

  • Finance

Keywords

  • CFA
  • CFP
  • dual-registered
  • financial adviser misconduct
  • registered representative

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