Josh Brown, Blogging’s Bomb Thrower: The 2014 IA 25 Profile
Many enthusiastic bloggers fall by the wayside, but not New York-based financial blogger par excellence, Josh Brown.
S&P Lawsuit Raises Questions About Feds’ Motivations
Questions are being raised as to why only S&P is targeted in the suit, since it could be said that Fitch and Moody’s assigned inflated ratings as well.
Forget Asking for Referrals, Occupy Your Client’s Brain
One of the big misconceptions in the advisory business is that clients refer new business because the advisor asks for the referral. “But that’s not it at all," says advisor consultant Stephen Wershing. “We do it because we like to be the answer guy."
Six Conversations With Clients You Need to Have
To be a successful financial advisor, you must have the diagnostic acuity of a physician, the perspicacity of an investigative reporter, the problem-solving skills of a psychologist — and, oh yes, the expertise to recommend appropriate investments.
SEC Charges RBC Capital Markets in CDO Misconduct
In the latest crackdown on improper use of CDOs, the SEC on Tuesday charged RBC Capital Markets for misconduct in the sale of unsuitable investments to five Wisconsin school districts
A Holiday From Histrionics
McGraw-Hill, parent to Standard & Poor’s, announced on Monday that it received a Wells notice from the SEC related to S&P’s rating of a collateralized debt obligation from 2007 (yes, 2007).
SEC May Seek Legal Action Against S&P
An issue over the rating of a collateralized debt obligation from 2007 prompted the SEC Thursday to send a so-called “Wells notice” to McGraw-Hill, the parent company of Standard and Poor’s.
S&P Capital IQ Names Finalists for Mutual Fund Awards
S&P Capital IQ announced Monday the 30 finalists in its second annual U.S. Mutual Fund Excellence Awards Program, with 11 of those funds making a repeat appearance since last year.
S&P’s President, Sharma, to Step Down
Deven Sharma, president of Standard & Poor's, will step down from his post on Sept. 12, and will be succeeded by Douglas Peterson, who is currently Citibank NA chief operating officer—Citibank is a unit of Citigroup.
S&P Equity Research, Showing Not All S&P 500 ETFs Alike, Favors SPY
An S&P Equity Research report on S&P 500 index ETFs finds that what's inside matters most--namely, stock weightings.