Investing Resources

Financial Planners

Can I ask the potential planner if he or his firm has ever been involved in any litigation or disciplinary action?

Yes, you should ask if a potential planner or his firm has ever been involved in any litigation or disciplinary action, and obtain a letter from him stating they have not. You should disqualify any individual or firm that has had any disciplinary action.



Close

This is a web preview of the "The Handy Investing Answer Book" app. Many features only work on your mobile device. If you like what you see, we hope you will consider buying. Get the App