More Shenanigans

smalladvisorsunite
Sep 24, 2021
1 min read

The SEC busted some more RIA’s: Berthel Fisher & Company Financial Services Inc. and Regal Investment Advisors, LLC. Their ADV’a listed Schwab as a Broker Dealer/Custodian. Do you think Schwab booted them off the platform and sent letters to the account holders?

First class passengers on the Titanic were given space on lifeboats while steerage passengers drowned. Did not matter if the first class passengers were old and near the end or the steerage passengers were children. It was all about money!

I am tracking this now. I mean to expose Schwab for what they are - a ruthless bully.

2 Comments

isha dixit

Oct 28, 2025

Unlock the thrill with world777 by using your unique world777 ID and secure world777 login. Once logged in, your world777 becomes your entry into a world of high-energy casino games and live sports betting. Completing your world777 login means you’re ready to explore immersive gaming, instant withdrawals and sharp odds. With your world777 ID verified and your world777 login secured, you’re equipped to dive into fast-paced action, solid rewards and seamless transactions on the go. Join now, use your world777 login and watch your world777 ID take you into the next level of gaming excitement.

Team world777

https://world777.net.in/

Le Thao

Oct 28, 2025

I really enjoyed your post—it highlights the seamless and secure gaming experience well. Fairplay24 truly delivers with intuitive registration, strong security, and a user-friendly design. The Fairplay24 login is especially impressive—fast, reliable, and encrypted for full data protection. Your review perfectly captures that balance of functionality and trust, which makes all the difference for users exploring gaming platforms. Would love to hear how your experience compares!

Team Fairplay24

https://fairplay24.world/

Broker Dealers seem quite casual, if not indifferent, to informing RIA clients that they have terminated the contract with their advisor. Almost like telling a motorist he left his car lights on. Broker Dealers refer to these individuals as account holders, while RIA's refer to them as clients. If you ask a compliance person at a Broker Dealer how the recipients of the notice of termination are likely to "feel" after receiving notice, they will show you that they have not given the matter much thought, and really don't care.