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When financial professionals (“advisors”) sell products and services to investors, what duty of care do the advisors owe to the investors? Are the advisors simply salespeople, able to sell whatever products they can to whomever will buy—as most companies in most industries are generally permitted to do? Or are advisors fiduciaries who owe a duty of loyalty and prudence to investors? Or do advisor obligations fall somewhere between those of salespeople and fiduciaries? Could the same advisor be a salesperson for one purpose and a fiduciary for another purpose or situation?
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