Sander Ressler

Every Financial Advisor’s Worst Crypto Nightmare

If Your E&O Insurance Doesn’t Cover Crypto Investing Blow-Ups, Kiss Your Business Good-Bye in the Next Black Swan Event “Go to hell, you old dinosore [sic]. Check

By WSR Newsroom

/ 3 Dec 2021

Every Financial Advisor’s Worst Crypto Nightmare

The Crypto Craze Could Murder Financial Advisors’ Careers

Efforts to Wrap Professional Asset Management Structures Around Crypto Currencies Disguise Enormous Risks to Financial Advisors If a client told you to put all of his or her long-term retirement

By WSR Newsroom

/ 5 Nov 2021

The Crypto Craze Could Murder Financial Advisors’ Careers

Help! My First-Ever Client Complaint!

Welcome to the fifth edition of Nightmare on Compliance Street. This is where I leverage my more than 30 years of experience in compliance and supervision in the financial services

By WSR Newsroom

/ 19 Aug 2021

Reporting Unpaid Bills and Client Portfolio Disclosure Obligations

Welcome to the fourth edition of Nightmare on Compliance Street, where I leverage my more than 30 years of experience in compliance supervision and expert witness testimony to address the

By WSR Newsroom

/ 15 Jul 2021

Reporting Unpaid Bills and Client Portfolio Disclosure Obligations

Don’t Ask Forgiveness Versus Permission

Can Clients Co-Sign Loans For Advisors? And Beware of Unauthorized Crypto Investing. Since the launch of Nightmare on Compliance Street, I've had lots of emails from Wealth Solutions

By WSR Newsroom

/ 4 Jun 2021

Silence Of the Spouses – Beware!

One of two spouses tells her financial advisor to immediately liquidate and transfer all joint investment assets to a bank account of her choice – And the advisor can’t confirm

By WSR Newsroom

/ 13 May 2021

Product Conflicts and Employee Harassment?

My name is Sander Ressler and I have over 30 years of experience handling compliance and supervision issues. At “Nightmare on Compliance Street” we address questions submitted anonymously from our

By WSR Newsroom

/ 15 Apr 2021

Product Conflicts and Employee Harassment?

Every Financial Advisor’s Worst Crypto Nightmare

The Crypto Craze Could Murder Financial Advisors’ Careers

Help! My First-Ever Client Complaint!

Reporting Unpaid Bills and Client Portfolio Disclosure Obligations

Don’t Ask Forgiveness Versus Permission

Silence Of the Spouses – Beware!

Product Conflicts and Employee Harassment?

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