Brokerage firms and mutual fund companies need better training for complex products
Companies must heed the gentle warnings being given to them by Finra and the SEC on complex investments.
Getting a fair shake in arbitration
A well-educated arbitrator will be better able to see phony arguments from both sides in a dispute.
Millennials can be a boon to your business
The following is an edited transcript of the InvestmentNews webcast, “How to work with…
Time to move quickly to aid the impaired
Dementia, Alzheimer's puts advisers in a bind when they try to intervene on behalf of impaired clients
Big glitches go beyond the numbers
$23M issues at ARCP, LPL show breakneck paces of growth can lead to cracks in the corporate façade.
CFP isn’t lone credential enforced via sanctions
An Aug. 18 letter [“Industry group responds to editorial criticism,” by Ray Ferrara, chairman of the Certified Financial…
BrokerCheck needs a marketing effort
It's time for Finra to get serious about making sure investors know BrokerCheck exists.
Opaque ETFs not in the public interest
SEC must keep investors front of mind and avoid being swayed by fund company arguments about nontransparent ETFs
You can’t always get what you want
There are no guarantees your practice will attract the high multiple you think it deserves in a sale.
Low interest rates hard on retirees
No relief in sight for retirees and other savers who have borne the brunt of the Federal Reserve's easy money policy