Dodd Calls for Inquiry Into Collapse of Lehman Brothers
By Ron PechtimaldjianCites examiner's report that found massive accounting manipulation
March 18, 2010
FINRA Expels B/D in Dallas; Case of $480-Mn Ponzi SchemeProvident Asset Management made 23 private placements, which were sold to customers through more than 50 retail broker-dealers nationwide, raising over $480 million through about 7,700 individual investments made by thousands of investors.
March 17, 2010
Time for a Transition (VII): RIA Starter KitA look at the major issues worth considering, before an advisor makes a move to independent RIA status.
March 15, 2010
Fidelity Rolls Out New Service Model for Affiliated Advisors and B/D RepsCentralized client service organization aimed at independent advisors, B/Ds, family offices, and traders
March 15, 2010
Investors Jump Back Into Market but Are Uncertain of Steps AheadSchwab sees areas of improvement and concern in economy
March 15, 2010
As Reform Bill Nears Release, a Renewed Call for the Fiduciary StandardNobel laureates, economists, industry luminaries sign statement from Committee for Fiduciary Standard
March 15, 2010
Mutual Funds or ETFs? Or Both?I, like many of you, enjoy the money management aspects of this business. This week I took a fresh look at the categories in which...
March 08, 2010
Some Simple, Practical Steps to Saving Your Bacon. Plus, It's Audit Time, AgainWhile attending the TradePMR conference in Orlando recently, advisor and tech guru Joel Bruckenstein discussed advisor technology tools. Part of his presentation was about backing...