The vast majority of those in the financial services industry are trying to do the right thing for their clients. But how can you spot those who are using illegal, predatory sales practices or giving bad advice on purpose?

In episode 3, we’ll talk to investment compliance expert Bob Lavigne. As the Director of Broker-Dealer and Investment Advisory at Kaufman Rossin, Bob helps the financial services industry navigate increasingly complex issues so firms can better serve the public.