Recent SEC Fraud Case against Springer Financial Advisors: Article Review and Commentary

This is a review and added comments regarding the article entitled, "Advisor who touts his holiday giving faces SEC fraud charges" by Ann Marsh, Senior Editor, Financial Planning (December 20, 2019). This article can be found at:


The point of this vlog post is to caution people looking to invest to thoroughly investigate professional advisors before signing on with them, and be aware that there are many in the industry who may or may not have values aligned with their clients' best interests.

Companies in the Financial Services Sector (besides Springer Financial Advisors) mentioned in this video include the following:

Allworth Financial


Money Matters (Allworth Financial's Radio Show) on KFBK


Betterment


The complaint filed with the SEC is as follows:


Please note that I have no affiliation with any of the above mentioned companies and also that any information in this video is for entertainment purposes only and should not be interpreted as financial advice. I am just sharing my knowledge and experience as a consumer of financial products and information. Please watch and enjoy!

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