Insights & News

George Michael Gerstein Quoted in Investment News Regarding Charges Made Against Scottrade 

February 15, 2018
Press Clippings

Stradley Ronon Counsel George Michael Gerstein was quoted in Investment News’ article, “Galvin charges Scottrade with DOL fiduciary rule violations,” discussing how Scottrade’s fiduciary rule violations should serve as a warning to other brokerages to not fall behind on fiduciary rule compliance.

"This is an example of the teeth to the DOL rule even during the transition period," Mr. Gerstein said. "Generally speaking, this suggests that the DOL rule can implicate state rules that could form the basis for state regulatory actions."

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