Articles written by Ron Rhoades, Columnist
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 at 1:44 PM
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 at 6:09 AM
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 at 2:54 PM
One-Man Think Tank: Yes, advisors, there is a way to cope with fiduciary liability
Ron Rhoades recipe includes one surprising ingredient
December 21, 2010 at 2:21 PM
One-Man Think Tank: The fiduciary standard may sink Wall Street's advisors-on-yachts. Should we care?
How much should a professional investment advisor make?
December 7, 2010 at 5:22 AM
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 at 5:55 AM
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 at 6:42 AM
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 at 4:19 AM
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 at 4:21 AM
One-Man Think Tank: The SEC's custody examinations leave gaps big enough for Madoff to drive a bus through
How to reassure clients who are seeing Ponzi after Ponzi unveiled
July 27, 2010 at 1:57 AM
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 at 12:22 AM
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 at 5:10 AM
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 at 5:13 AM
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 at 5:14 AM
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