Articles tagged "Tamar Frankel"


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Why Vanguard Group has proved impervious to a '$34.6 billion' whistleblower suit and why nobody's suggesting Vanguard execs should breathe easy

The SEC documented a 1981 OK on the asset manager's 'at-cost' fee structure - but if the IRS is egged on it could cost Vanguard bigtime in back taxes, penalties and future business

December 22, 2015 — 8:09 PM UTC

An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2

FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman

May 31, 2012 — 5:24 AM UTC

What we all feared: 'Better' disclosure yields worse results, according to Yale professor's study

At an exclusive think-tank style conference on the Potomac, industry leaders heard the psychology behind investors' rosy view of the world.

September 27, 2010 — 5:18 AM UTC

How a surprising array of advisor groups aims to catch the SEC's ear

A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business

September 13, 2010 — 4:42 AM UTC

Regulatory Wire: How Goldman Sachs' fraud case will redirect the regulatory debate

Two Senators to offer amendment; plus, how many arbitration cases are filed because of breach of fiduciary duty? It's a lot.

April 23, 2010 — 6:01 AM UTC

Mutual fund industry may be too quick in declaring victory on the Supreme Court Decision

The standard is upheld but the people-with-muscle caveat is a true victory for investors, according to Tamar Frankel

March 31, 2010 — 6:24 AM UTC
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