New Hire Roundup: Ohio Securities Commissioner Andrea Seidt to Lead NASAA
Stephanie Zaffos joined Convergent Wealth Advisors, Scivantage welcomed Jim Toussignant, and the SEC announced three staff promotions.
Goldman HR Exec Sounds Off on Greg Smith Controversy
Is the Goldman exec who gave his resignation in the op-ed section of The New York Times delusional?
Goldman President Cohn Will ‘Probably Read’ Op-Ed Writer’s Tell-All Book
Is all forgiven? Probably not.
The Times Editorial, Fiduciary Duty and the Levitt Rule
What is unethical? Not a broker-dealer that sells proprietary product, but one that just meets fair-dealing suitability rules while simultaneously telling investors that “We always place our clients first.”
Smith-Goldman: A Poignant Case Study on the Fiduciary Debate
The duality of our regulations significantly contributes to a dangerous, often confusing state of affairs. Unless we restore trust, the system will rely on more regulations as a substitute.
Piling On Goldman While Obscuring the Big Truth
What's been almost entirely missing from the frenzy is a discussion of why Goldman Sachs, according to Greg Smith, was not violating federal regulations.
Three Big Trends in RIA Industry: 2012 TechLeaders Conference
Tim Welsh, president and founder of Nexus Strategy, discussed several major trends in the RIA space, like stronger demand for independent advisors and Canadians looking southward.
Goldman Sachs Ripped by Critics for History of Putting Profits Over Clients
Greg Smith’s very public resignation from Goldman Sachs has sparked heated discussion in the financial services industry, not only on the propriety of Smith’s New York Times op-ed but on the substance of the former Goldman executive’s accusations against the firm.
Goldman Sachs Exec’s Kiss-and-Tell Resignation: News Analysis
It must be every boss’ worst nightmare: to receive an employee’s resignation letter on the Op-Ed page of The New York Times. And so Goldman Sachs CEO Lloyld Blankfein could be excused for suspending his efforts doing “God’s work” for a few moments as he lamented reading Greg Smith’s very...