Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases
Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.
SEC Fiduciary Rule Stalled—But for How Long?
A fiduciary rule from the SEC looks to be years away.
Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary Rule
In the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been “ignored.”
Kicking SEC’s Fiduciary Efforts Back Into Gear
Barbara Roper of the CFA and others discussed ways to get the SEC to move forward on proposing a fiduciary rule on a conference call Wednesday.
NAPFA Elects Lauren Locker to Replace Ron Rhoades as Chair
Locker, who founded her own New Jersey-based firm in 1992, is a CFP and has served on NAPFA’s National Board for the past two years.
Ron Rhoades’ Exit From NAPFA Shocks Fee-Based Advisor World
In a self-punishing mea culpa, Rhoades said he was stepping down from the NAPFA chairmanship after discovering that he had committed a violation as chief compliance officer of his firm.
NAPFA Chair-Elect Ron Rhoades Steps Down Due to Compliance Error
NAPFA Chair-Elect Ron Rhoades said late Monday that he is stepping down from his appointment.
FINRA’s New Suitability Rule Edges Closer to ‘Fiduciary’: NAPFA Chairman
Ron Rhoades, the chairman of NAPFA, says the rule's biggest challenge is that a BD’s “investment strategy” must now meet suitability requirements.
NAPFA Names Ron Rhoades Chairman
On opening day of the 2012 NAPFA annual conference in Chicago, outgoing chairwoman Susan John named Ron Rhoades to succeed her as head of the fee-only planners group.
Morningstar Columnist Scott Simon Named Fiduciary of Year
The Committee for the Fiduciary Standard recognized Morningstar’s ‘Fiduciary Focus’ columnist Scott Simon for his contributions to the cause of advancing the fiduciary standard to investors, markets and the public.