Les has created content and conducted compliance reviews of RIAs’ advertising and marketing materials, presentations, brochures, websites, newsletters, performance reports, proposals, and other documents. He has also developed compliant material for RIAs’ television commercials, radio ads, DVDs, blogs, social media, and even YouTube videos. 

Les has written about compliance for numerous professional publications. His articles have been published by Foreside Insights, NCS Regulatory Compliance, AdvisorOne, Financial Planning, TD Ameritrade, Pershing, Fidelity, Securities Training Corp., Financial Services Institute, MoneyTrack.org, Boomer Market Advisor, RIABIZ.com, Investments & Wealth Monitor, National Society of Compliance Professionals, ThinkAdvisor, Financial Advisor IQ, Society of Corporate Compliance and Ethics, JD Supra, BoardIQ, and Forbes.com. 

The second edition of his book, THE INVESTMENT ADVISOR'S COMPLIANCE GUIDE, was published in 2017. https://www.amazon.com/Investment-Advisors-Compliance-Guide-2nd-dp-1941627935/dp/1941627935/ref=dp_ob_title_bk. The third edition will be published in early 2023 and will provide RIAs with all they need to know about the new Marketing Rule. He is also the author of GROWING WITHIN THE LINES: THE INVESTMENT ADVISER’S ADVERTISING AND MARKETING COMPLIANCE GUIDE. Both books were published by the National Underwriter, a division of ALM Media.

Les has conducted several Internet-based webinars and podcasts dealing with advertising compliance issues and social media. He has spoken at a number of conferences and webcasts on this topic for groups such as NCS Regulatory Compliance, Foreside, LightPort National Conference, Shareholder Services Group, IA Watch, and Regulatory Compliance Watch.

Les is a graduate of the University of Pittsburgh and Duquesne University School of Law. He is a member of the Pennsylvania bar.

COMPLIANT CONTENT FOR YOUR WEBSITE & ALL YOUR ADVERTISEMENTS
Home StaffSpecialtiesResourcesBlog