Author

Guest Columnist Ron A. Rhoades

4 articles

Articles written by Guest Columnist Ron A. Rhoades

Ron Rhoades: It is one thing to lobby and inform. It is quite another to orchestrate group boycotts, which are an anti-competitive practice.

Jun 20, 2019

Ron Rhoades tells Ira Hammerman that his response on SIFMA's behalf failed to address the 'undeniable' -- the threat of boycotts

The Kentucky professor schools the Washington lobbyist on the looming threat of broker-dealers forcing reps to sacrifice their CFP designations -- and questions Hammerman's math on 'one million employees' he claims to speak on 'behalf' of

Ron Rhoades says that when brokerage associations (i.e. FSI and SIFMA) and broker-dealers, like Morgan Stanley, offer threatening boycott comments in symphony, that they may very well break the law.

Jun 18, 2019

Broker-dealers' new power tactic -- threatening to quit states altogether -- to thwart local fiduciary rules for advisors sure looks like blatant misuse of power

SIFMA, FSI and Morgan Stanley made overt threats to Nevada and New Jersey and CFP Board that have more than a whiff of conspiracy to restrain trade

Ron Rhoades: The S.E.C.’s Regulation BI's attempts to redefine the English language, hence misleading individual investors for all time.

Dec 27, 2018

Will the S.E.C. aid and abet fraud in 2019? A fictionalized grilling of Jay Clayton under truth ether reveals the perils

With brokers the special interest, the simple principle of putting client interests first, gets mangled in the wording. But two can play that game so Ron Rhoades fights back with his pen

Ron Rhoades: FINRA was already an expert at protecting its large Wall Street firms from competition.

May 30, 2012

Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1

Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel

Guest Columnist Ron A. Rhoades

Articles written by Guest Columnist Ron A. Rhoades

Ron Rhoades tells Ira Hammerman that his response on SIFMA's behalf failed to address the 'undeniable' -- the threat of boycotts

Broker-dealers' new power tactic -- threatening to quit states altogether -- to thwart local fiduciary rules for advisors sure looks like blatant misuse of power

Will the S.E.C. aid and abet fraud in 2019? A fictionalized grilling of Jay Clayton under truth ether reveals the perils

Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1

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