Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
Tax Loss Harvesting: Beware of Unrealistic Expectations
Once an end-of-year tradition, tax loss harvesting can now be done year-round, and more efficiently. Beware of unrealistic expectations, however, especially from robo-advisors.
The SEC Is Broken
A decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.
Facing No Urgent Crises, SEC ‘Spreads Its Wings’
Expect enhanced enforcement efforts in insider trading, financial reporting and pyramid schemes, enforcement chief Ceresney says.
401(k)s With Company Stock Fading Fast
The practice of putting company shares into retirement plans has been waning for some time, but a recent Supreme Court decision could hasten its demise.
Criminal Charges Against Banks Risk Sparking Crisis
Even a threat of a hearing may prompt clients to "lose confidence" in an institution and even "cause a run" on a bank, one expert says.
Jonathan Hoenig: Capitalist Pig, Ayn Rand Fan, Highly Successful Manager
The founder of Capitalistpig Hedge Fund says Social Security is immoral, advisors are too risk-averse and hedge funds are unfairly blamed.
Compensation Golden Rule: Money Can’t Buy Happiness
One of the biggest mistakes that managers make is using money as a substitute for active management.
Top 10 Wall Street Crooks: Insider Trading
Using confidential information to make a mint is nothing new. Here are 10 that carried on that fine Wall Street tradition.
Top 10 Most Disliked U.S. Companies: 2013
AdvisorOne focuses on the bottom 10 in a Harris poll ranking consumers’ opinion of the reputation of America’s 60 most visible companies.