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Articles written by Ron Rhoades, Columnist


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Ron Rhoades:  In essence, the “theory” of FIAs often fails in its execution, due to poor product design and abusive sales practices.

The ABCs of doing due diligence on fixed income annuities

State regulators are stepping up as the SEC, reigned in by Dodd Frank, retreats on regulation of fixed income annuities

March 18, 2011 – 1:44 PM

Ron Rhoades: “Sh***y products” – such as the many poor asset-backed securities manufactured in the 2002 to 2008 time frame – would likely not have been manufactured in such great numbers had financial intermediaries been fiduciaries.

One-Man Think Tank: Four red flags in the SEC's fiduciary report

The standard may help right an economy overweighted by finance, but there's a strong chance Wall Street will block it

March 1, 2011 – 6:09 AM

Ron Rhoades: The SEC will require the support of many professional groups and consumer groups, as well as that of the media and general public, to overcome the ferocious attacks which are certain to follow.

One-Man Think Tank: SEC courage likely to be tested in coming months

Study on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule

January 24, 2011 – 2:54 PM

Ron Rhoades crafted this response to two advisors' question about turning RIA
December 21, 2010 – 2:21 PM

Ron Rhoades: I have personally observed dozens of my clients, throughout my 25-year legal and then investment advisory career, inform me that their “financial advisor” took them on “for free” and “has never been paid a dime.”
December 7, 2010 – 5:22 AM

Ron Rhoades: I have seen in my 25 years of practice ... a large number of individual Americans withdraw from the stock and bond markets after discovering the inadequacy of the conflict-ridden investment advice they received.

One-Man Think Tank: What would Adam Smith say about the fiduciary standard?

As the SEC ruminates, the invisible hand lurks and Rhoades finds support for a strong standard in unlikely places

November 22, 2010 – 5:55 AM

Ron Rhoades: It appears that relatively few investment strategies, as to the design of portfolios for individual clients, withstand academic scrutiny.

One-Man Think Tank: Would your investment strategy stand up in court?

Advisors should apply due diligence not only to products and suitability, but to their overall approach, says the new ADV form.

November 3, 2010 – 6:42 AM

Ron Rhoades: Our firm never recommends any fund which possesses a non-waived sales load, 12b-1 fees, or which pays soft dollar compensation.

One-Man Think Tank: A method for analyzing and comparing the costs and fees for mutual funds and ETFs

Fees weigh down the performance of a fund. Why don't more advisors pay attention?

August 19, 2010 – 4:19 AM

Ron Rhoades: If you read to the end of this column, you may conclude that due diligence is not easy. But whoever said being an RIA should be?

One-Man Think Tank: Inside the due diligence that uncovered serious questions about a REIT

Ron's firm convinced an investor to sell his shares after an analysis that looked at the share redemption program

August 9, 2010 – 4:21 AM

Ron Rhoades: Many RIAs rightly question the utility of limited inspections by regulators.
July 27, 2010 – 1:57 AM

Ron Rhoades: Potential clients rightfully adhere to the old adage, "Where there's smoke, there's fire."

One-Man Think Tank: Six steps to avoid getting sued and having your reputation destroyed in the bargain

Beware prospects who bad-mouth their old advisor; fire clients who don't stick to the strategy

July 19, 2010 – 12:22 AM

Ron Rhoades: It is time for FINRA to be dismantled.

One-Man Think Tank: Six reasons that FINRA should be dismantled

Insuperable issue: Each FINRA firm has an equity interest in FINRA - and would be entitled to a slice of its billion-dollar war chest

July 14, 2010 – 5:10 AM

Ron Rhoades: Fiduciary organizations benefit from the media's growing attention to the fiduciary issue.

One-Man Think Tank: Being a fiduciary is suddenly in style, even as lawmakers dance around the issue

The conference committee puts off action for another day, but Ron Rhoades points out that the private sector is finding its own solutions

June 24, 2010 – 5:13 AM

Ron Rhoades: Settlement of the case between Goldman Sachs and the SEC is highly likely within the next several months.

One-Man Think Tank: Inside the legal issues of the Goldman Sachs hearings

Sorting out the culpability of the Wall Street powerhouse requires a close look at the suitability standard

May 5, 2010 – 5:14 AM

Ron Rhoades: When will Congress stand up to Wall Street?

One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out

As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation

April 27, 2010 – 6:19 AM

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