Was Kwiatkowski the End of Broker Advice?

Abstract

An in‐depth analysis of a disturbing decision which attempts to unusually expand previous concepts of broker‐dealer liability for “broker advice.” Will this decision reshape the way broker‐dealers communicate with customers? Is it such that ultimately it will hinder a customer's ability to get advice?

Citation

TRICARICO, J.A.J. (2002), "Was Kwiatkowski the End of Broker Advice?", Journal of Investment Compliance, Vol. 2 No. 3, pp. 58-63. https://doi.org/10.1108/eb045920