In settling its case against Risher, the SEC imposed upon him a Bar from association with any transfer agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor, or nationally recognized statistical rating organization.

FORBES: An Ex-Con Con Artist Rips Off $22 Million From Teachers and Retirees

Newton, Partner and Wealth Advisor, RegentAtlantic Capital, LLC, an investment adviser company.

FORBES: 8 Strategies Successful Women Entrepreneurs Share with Their Corporate Counterparts

On Friday, I was in Chicago debating the economy with First Trust Advisor economist Brian Wesbury, Economic Policy Institute economist Jared Bernstein and investment adviser and Forbes columnist Gary Shilling.

FORBES: Feeling Bad In A Strong Economy

They believe their financial advisor will recommend products that are best for them, not that are most lucrative to the adviser.

FORBES: Pension Consultant Shenanigans (September 4, 2004 )