Articles tagged "Ron Rhoades"
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Part II: Tick, tick ... How FINRA tramples on 'settled' principles of the Supreme Court, and even Adam Smith, in its sanctification of two-hatted advice
The 'best interests' standard of the stock cop ignores classical arm's-length principles, of economics and the law, implicit to the entrusting of care to professionals by evoking wonders of bare-knuckles capitalism
February 1, 2016 at 8:13 PM
Tick, tick, tick ... FINRA rewrites 'culture,' 'conflicts of interest' and 'ethics' into a farcical 'best interests' code after DOL drops a bomb on its suitability ethos
In its latest burst of bureaucratic creativity, the wirehouse cop acknowledges the scourge of Wall Street culture then quickly excuses the behavior it elicits
January 29, 2016 at 6:33 PM
Why Wall Street's DOL killer threat -- that 'millions' of IRA investors will go unadvised under new rules -- is hogwash
Investors already have options and Wall Street's withdrawal, already in progress, can only improve investor outcomes
June 8, 2015 at 10:29 PM
Where Barbara Roper and Ron Rhoades lose traction in their fiduciary arguments
Lay fiduciary decision-makers have difficulty in discerning conflicts of interest.
March 2, 2015 at 6:19 PM
Why I disagree with Don Trone's characterization of Obama's fiduciary stance as 'punitive'
The essential component of fiduciary duty -- loyalty -- is what separates the advisor from the salesperson, according to fellow fiduciary advocate Ron Rhoades
February 27, 2015 at 12:06 AM
As President Obama takes the gloves off, pro-broker groups throw up 'sledgehammer' response
After a lot of waiting around FSI calls this news 'the real thing'
February 24, 2015 at 8:31 PM
What Tony Robbins should remember when he talks 'fiduciary'
The five-syllable word represents an attitude, way of life and something you should grasp for the good of investors
December 8, 2014 at 8:44 PM
TD Ameritrade pulls off amazing Summit in DC that reveals rot to the core of SEC, FINRA and ERISA system
A consumer panel sobered the crowd off the bat with war stories and then Ron Rhoades, Mercer Bullard, David Tittsworth, Sheryl Garrett, Tom Nally, Marilyn Mohrman-Gillis and others pulled no punches
September 18, 2014 at 5:54 PM
Why RIAs (Republicans, too) need to snap out of willful ignorance about climate change to claim the mantle of wealth stewardship
Conscientious financial advisors must engage in real due diligence of original documents related to this subject
May 20, 2014 at 6:37 AM
How rising RIA super-bloggers, 401(k) brush fires and a short RIA-Salesforce courtship captured RIABiz readership
As we examined our top 10 articles Q1, the common denominator was ... an RIA intangible that you know when you see
April 24, 2014 at 6:28 AM
The RIABiz top 10 industry blogs -- and which bloggers they recommend
The RIA business is a land of micro-niches where owner-operated blogs are often the best reading spot for advisors to find the vibe and the level of granularity they seek on a subject
January 15, 2014 at 5:52 AM
10 most-read RIABiz stories of 2013 and why you couldn't resist them
This year's potpourri includes young Horatio Algers, aged Cassandras, irate investors and a professor with the 401(k) industry in his sights
December 18, 2013 at 9:12 PM
How the SEC has pulled a vanishing act, looking the other way while brokers with flimsy pretenses hold themselves out as trusted advisors
The federal keeper of the standards has stopped battling brokers from calling themselves 'wealth managers', advertising 'trust' or looking the other way on principal trades
December 17, 2013 at 8:05 PM
Private-equity firm buys the Loeper-Wealthcare financial planning patent and big-time business execs are running with the ball
Here comes a CEO with an IPO under his belt, a Smith Barney legend and the E*TRADE baby-commercial guy
December 9, 2013 at 7:53 PM
Lauren Schadle shows mettle as FPA stakes out turf in skirmish with CFP Board at its national conference in Orlando
Despite a no-show Phyllis Borzi, the FPA Experience was a substance-filled event in which the organization sought to redefine and reclaim its soul
