What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Eric is a co-owner of Bunker Sonoma Mountain Vineyards, a winery, dedicating about half his time. He is also the owner of MEC Financial, used to pay business expenses, dedicating about half his time.