Bates News | 09-19-18
Bates In the Media – Spotlight on Managing Director Bob Lavigne
Bates Managing Director of Compliance Solutions Robert “Bob” Lavigne was quoted in Investment News on September 15, 2018 in an article entitled “SEC Advice Rule Contains a Huge Hole.” The report, which appeared online and in print, addresses the loophole in the SEC’s proposed Regulation Best Interest as it applies to dually registered broker-dealers, RIA firms and professionals.