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61. Recognizing and Preventing Misconduct in Financial Advisory with Dr. Moira Somers
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Good advisors can still find themselves in difficult ethical situations, especially when they are under pressure, early in their careers, or trying hard to help a client.
In this episode, Ashley talks with Dr. Moira Somers, a clinical consultant and researcher focused on misconduct in financial advising. Together, they look at why misconduct happens, how it can show up in different forms, and why it is not always driven by bad intentions.
Moira shares what her research has shown about the gray areas advisors may face, especially early-career…
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