Managing Director, Jennifer Cooper, on Michael Yorba’s “Trader’s Network” on KFXR-1190 AM in Dallas,Texas. In this ten-minute audio clip, she highlights three Green List advisors from the Diligence Review Corp.’s August 1, 2012 Red-Yellow-Green Report that stand out.
The Red-Yellow-Green Report was released by Diligence Review Corp. on August 1, 2012. Of the 11,622 SEC-registered investment advisors at July 2, 2012, we identified 1,315 advisors (11.31%) that answered “yes” to one or more questions that constitute a “significant adverse regulatory event” in Form ADV. The names of those 1,315 firms are listed in […]