John Clark

John Clark was previously assistant director, compliance, at Commonwealth Financial Network®, member FINRA/SIPC, nation's largest privately held Registered Investment Adviser–independent broker/dealer. He left the firm in 2015.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

Recent Posts

Don't Be a Victim: Mitigate the Risk of Fraud in Your Practice

Don't Be a Victim: Mitigate the Risk of Fraud in Your Practice

Posted by John Clark

March 24, 2015 at 10:00 AM

As an independent financial advisor, you must run a business, oversee your clients' finances, and adhere to both regulatory and firm requirements, to name just a few responsibilities. With everything else you have to do, finding strategies to mitigate the risk of fraud in your practice may not be top of mind. But given the variety of fraudulent schemes out there, it's a critical aspect of managing your practice.

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Topics: Compliance

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