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 NCS Regulatory Compliance, TD Ameritrade, Pershing, Fidelity, Securities Training Corp., Financial Services Institute, MoneyTrack.org, RIABIZ.com, Forbes.com, Advisor One, Think Advisor, National Society of Compliance Professionals, and Boomer Market Advisor. The second edition of his book, THE INVESTMENT ADVISOR'S COMPLIANCE GUIDE, was published in 2017. https://www.nationalunderwriter.com/the-investment-advisor-s-compliance-guide-2nd-edition.html
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, LightPort National Conference, Shareholder Services Group, IA Watch, and NAPFA Advanced Planners Conference.
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