{"id":4434,"date":"2007-05-30T11:26:13","date_gmt":"2007-05-30T11:26:13","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/05\/according_to_survey_by_vestmen"},"modified":"2022-03-25T14:27:36","modified_gmt":"2022-03-25T19:27:36","slug":"according-to-survey-by-vestmen","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/","title":{"rendered":"According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules"},"content":{"rendered":"

In a recent survey of financial services professionals, many financial advisers said that they knowingly skirted their companies’ compliance regulations and are tired of complying with a regulatory framework that seems to be growing more complicated.<\/p>\n

100 financial services professionals were surveyed by Shorewood, Minnesota-based consulting and training firm for the financial services industry Vestment Advisors Inc. 71 of the respondents were registered representatives.<\/p>\n

One survey participant said that everyone violates compliance rules on a daily basis because it was not possible to work in the securities industry without regularly violating an SEC or NASD rule Another participant said that it was unlikely that anyone had “never violated a compliance rule,” seeing that hundreds of rules existed.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

In a recent survey of financial services professionals, many financial advisers said that they knowingly skirted their companies’ compliance regulations and are tired of complying with a regulatory framework that seems to be growing more complicated. 100 financial services professionals were surveyed by Shorewood, Minnesota-based consulting and training firm for the financial services industry Vestment […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3825],"tags":[],"class_list":["post-4434","post","type-post","status-publish","format-standard","hentry","category-financial-advisers"],"yoast_head":"\nAccording to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules — Investor Lawyers Blog — May 30, 2007<\/title>\n<meta name=\"description\" content=\"In a recent survey of financial services professionals, many financial advisers said that they knowingly skirted their companies' compliance regulations — May 30, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules — Investor Lawyers Blog — May 30, 2007\" \/>\n<meta name=\"twitter:description\" content=\"In a recent survey of financial services professionals, many financial advisers said that they knowingly skirted their companies' compliance regulations — May 30, 2007\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards & Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules — Investor Lawyers Blog — May 30, 2007","description":"In a recent survey of financial services professionals, many financial advisers said that they knowingly skirted their companies' compliance regulations — May 30, 2007","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/","twitter_card":"summary_large_image","twitter_title":"According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules — Investor Lawyers Blog — May 30, 2007","twitter_description":"In a recent survey of financial services professionals, many financial advisers said that they knowingly skirted their companies' compliance regulations — May 30, 2007","twitter_misc":{"Written by":"Shepherd Smith Edwards & Kantas, LLP","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/"},"author":{"name":"Shepherd Smith Edwards & Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules","datePublished":"2007-05-30T11:26:13+00:00","dateModified":"2022-03-25T19:27:36+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/"},"wordCount":432,"articleSection":["Financial Advisers"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/","url":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/","name":"According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules — Investor Lawyers Blog — May 30, 2007","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"datePublished":"2007-05-30T11:26:13+00:00","dateModified":"2022-03-25T19:27:36+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"In a recent survey of financial services professionals, many financial advisers said that they knowingly skirted their companies' compliance regulations — May 30, 2007","breadcrumb":{"@id":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.investorlawyers.com\/blog\/according-to-survey-by-vestmen\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.investorlawyers.com\/blog\/"},{"@type":"ListItem","position":2,"name":"According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms\u2019 Compliance Rules"}]},{"@type":"WebSite","@id":"https:\/\/www.investorlawyers.com\/blog\/#website","url":"https:\/\/www.investorlawyers.com\/blog\/","name":"Investor Lawyers Blog","description":"Published By Investment Fraud Attorneys \u2014 Shepherd Smith Edwards & Kantas, LLP","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.investorlawyers.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431","name":"Shepherd Smith Edwards & Kantas, LLP","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","caption":"Shepherd Smith Edwards & Kantas, LLP"},"sameAs":["https:\/\/www.investorlawyers.com\/"]}]}},"jetpack_featured_media_url":"","jetpack_shortlink":"https:\/\/wp.me\/pedX9K-19w","_links":{"self":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/4434","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/comments?post=4434"}],"version-history":[{"count":4,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/4434\/revisions"}],"predecessor-version":[{"id":25523,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/4434\/revisions\/25523"}],"wp:attachment":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/media?parent=4434"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/categories?post=4434"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/tags?post=4434"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}