FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
Breakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
Brian Hamburger: Stakes Are High for CFP Board in Camardas’ Lawsuit
The attorney and founder of MarketCounsel says lawsuit is an "accountability test" for the CFP Board.
Regulatory Environment Bodes Well for Advisors: MarketCounsel’s Hamburger
“I would bet heavily on the inability of government to get anything done."
MarketCounsel Sells MailBanc Messaging Unit to Global Relay
The summit features a "who’s who" of leading RIA firms and industry personalities.
Are RIAs Really a Bigger Regulatory Problem Than Brokers?
A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway
The Blame Game: Protecting Fiduciary Advisors From Unreasonable Liability
Another benefit of a fiduciary standard for all advice-givers: protecting clients and advisors.
SRO Bill’s Redraft Hangs in Balance With Bachus to Leave House Panel’s Helm
House Financial Services Chairman Spencer Bachus’ recent announcement that he will leave his post likely when a new Congress convenes could prompt him to move quickly in pushing through his committee a redraft of his SRO bill.
Unfinished Business: Advisors Debate Fiduciary Standard, SRO
As we near the end of 2011, two of the top issues for the advisory industry remain unresolved: a fiduciary mandate for brokers and a SRO for advisors.
Harmonizing Advisor, BD Rules Back Burner Issue for SEC: fi360's Thompson Says
Harmonization of advisor and broker rules is an issue that’s “lower on the totem pole” for the SEC now, Duane Thompson, senior policy analyst with fi360, said on Thursday. However, there are clearly areas where harmonization needs to occur.
Fidelity's Durbin Asks: Need Another Reason to Leave Wirehouses? Taxes?
Fidelity white paper explores the taxation issues that arise when advisors switch business models from captive wirehouse to independent RIA.