Debunk Redux: Fiduciary Was Good for Brokers the First Time, Too
What happened to brokerage accounts following the FPA’s victory against the SEC in 2007 over the 'Merrill Rule' reveals as much about the brokerage industry as it does about the effects of a fiduciary standard.
On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight Continues
Lawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.
Being Rick Ketchum
This job affords me the opportunity to “live other lives;” to see both sides of an issue in all its selfish and selfless glory.
A Long, Strange Trip
Having been in the wealth management industry for more than three decades, I've seen a lot of things come full circle in the financial markets....
A technology take on the Merrill Rule
At the end of March, the U.S. Court of Appeals for the District of Columbia ruled that the Securities and Exchange Commission overstepped its bounds...