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Registered Rep.
September 1, 2004
The Blame Game When is a broker or a financial planner a fiduciary?... Should I seek separate legal counsel or allow my former firm's attorney to represent me?... mark for My Articles similar articles
Registered Rep.
October 1, 2006
Ann Therese Palmer
Agent or Fiduciary? Q: I underwent a grueling arbitration hearing this year. One point the complainant's attorney tried to make was that I had acted in a fiduciary capacity... A: The designation "fiduciary" used to mean something special in both the legal and the brokerage worlds... mark for My Articles similar articles
Investment Advisor
August 2010
Bob Clark
Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely. mark for My Articles similar articles
Commercial Investment Real Estate
Nov/Dec 2004
Honigberg & Krishnan
Duty Bound A couple of recent cases illustrate that brokers' actions can sometimes lead to liability. mark for My Articles similar articles
On Wall Street
December 1, 2009
Mark Astarita
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? mark for My Articles similar articles
Investment Advisor
March 2008
Melanie Waddell
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines? mark for My Articles similar articles
Financial Planning
December 1, 2009
Harold Evensky
Clients First It is imperative that an honest, universal fiduciary standard incorporate basic principles designed to protect clients -- not brokers, advisors, or their employers. mark for My Articles similar articles
Investment Advisor
December 2009
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts. mark for My Articles similar articles
Investment Advisor
November 2006
Thomas D. Giachetti
Defining Fiduciary What is a financial advisor's true fiduciary duty? mark for My Articles similar articles
Investment Advisor
May 2010
Bob Clark
Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet. mark for My Articles similar articles
Investment Advisor
September 2010
Bob Clark
Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead. mark for My Articles similar articles
Investment Advisor
May 1, 2011
More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state. mark for My Articles similar articles
Investment Advisor
March 2010
Bob Clark
Clark at Large: Hope and Change Is financial reregulation moving in the right direction? mark for My Articles similar articles
Financial Advisor
July 2004
Tracey Longo
Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors. mark for My Articles similar articles
Investment Advisor
May 2007
Bob Clark
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC. mark for My Articles similar articles
Financial Advisor
October 2010
Scott A. MacKillop
One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were. mark for My Articles similar articles
Investment Advisor
September 2009
Bob Clark
Clark at Large: These Guys Are Good Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory world, which is part of the Obama Administration's overhaul of the financial services industry. mark for My Articles similar articles
Financial Planning
September 1, 2009
Donald B. Trone
Fiduciary Facts Separating fact from fiction for the fiduciary standard Obama has recommended applying to all advisors providing investment advice. mark for My Articles similar articles
Registered Rep.
July 15, 2011
Kristen French
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. mark for My Articles similar articles
Registered Rep.
May 28, 2010
Jake Zamansky
Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills. mark for My Articles similar articles
Financial Advisor
March 2008
David Lawrence
A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day. mark for My Articles similar articles
Financial Advisor
December 2009
David Lawrence
Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice. mark for My Articles similar articles
Registered Rep.
July 9, 2010
Jerry Gleeson
Broader Fiduciary Standard Could Kick Up B/d Insurance Bills Will a broader application of the fiduciary standard be accompanied by higher insurance costs? Some broker/dealers are bracing for the possibility. mark for My Articles similar articles
Investment Advisor
August 2009
Bob Clark
Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro. mark for My Articles similar articles
Investment Advisor
May 1, 2011
Kathleen McBride
SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it mark for My Articles similar articles
Investment Advisor
March 1, 2011
Kathleen Mcbride
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators mark for My Articles similar articles
CFO
Kris Frieswick
Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty. mark for My Articles similar articles
Financial Advisor
May 2010
Bill Bachrach
What Lower Standards Bring A lack of fiduciary standards for the industry means that as an advisor you have a competitive advantage when you put the client first. mark for My Articles similar articles
The Motley Fool
June 22, 2006
Dan Caplinger
Where's My Money? What to do when your fiduciary isn't getting the job done. In any situation involving potential or actual conflict, you need to know your rights. Taking action to enforce your rights is the best way to ensure that you receive the treatment you deserve. mark for My Articles similar articles
Registered Rep.
February 2, 2006
Kristen French
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. mark for My Articles similar articles
The Motley Fool
October 30, 2009
Dan Caplinger
Why Government "Help" Could Become Your Next Nightmare The government wants brokers and other financial professionals to act in their clients' best interest, but if you're a client, you might well be much happier keeping things exactly the way they are now. mark for My Articles similar articles
Financial Planning
November 1, 2006
Daniel B. Moisand
Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning. mark for My Articles similar articles
Registered Rep.
September 13, 2004
John Churchill
A Broker or An Advisor? A hot topic among the financial planning community as financial planners continue to try to define and bolster themselves as a profession: fiduciary status. Of particular concern is the "broker-dealer exemption rule" to the Investment Advisers Act of 1940. mark for My Articles similar articles
Commercial Investment Real Estate
May/Jun 2015
Sean E. Ponist
Going to the Source By attributing the source of the information, an agent or broker can avoid, or at least attempt to avoid, liability for any unintentional errors in information passed along. mark for My Articles similar articles
Financial Planning
January 5, 2008
Glenn G. Kautt
Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today? mark for My Articles similar articles
Investment Advisor
October 2006
Melanie Waddell
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards. mark for My Articles similar articles
Financial Planning
September 1, 2008
Blaine Aikin
New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides. mark for My Articles similar articles
On Wall Street
June 1, 2010
Mark Astarita
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship. mark for My Articles similar articles
Investment Advisor
October 2009
Bob Clark
Clark at Large: The Dog That Didn't Bark A fiduciary duty to all clients would be more immediate, widespread, and at least as beneficial as separate regulation of planners. mark for My Articles similar articles
Investment Advisor
February 1, 2011
Melanie Waddell
2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization. mark for My Articles similar articles
Investment Advisor
July 1, 2011
Melanie Waddell
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. mark for My Articles similar articles
Investment Advisor
May 2010
Melanie Waddell
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. mark for My Articles similar articles
Registered Rep.
May 7, 2010
Kristen French
Bulk Up On Disclosure, Shock Aborbers Needed, Says Ketchum The industry must move forward to improve the quality and kinds of disclosures firms provide to clients, particularly disclosures about the services provided. mark for My Articles similar articles
Financial Planning
June 1, 2008
Bob Veres
The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners. mark for My Articles similar articles
Investment Advisor
September 2010
Melanie Waddell
The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge. mark for My Articles similar articles
Investment Advisor
September 2008
Mike Patton
B/D or RIA? The Case for the Registered Investment Advisor After considering the different options, one advisor explains why he opted for the registered independent advisor model. mark for My Articles similar articles
Registered Rep.
April 27, 2010
Kristen French
Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation. mark for My Articles similar articles
Financial Planning
June 1, 2011
Donald B. Trone
Code of Conduct As the SEC engages in the rule-making associated with its proposed uniform fiduciary standard of conduct under the Dodd-Frank Act, it likely will focus its attention on an advisor or broker's duty of loyalty and duty of care. mark for My Articles similar articles
Registered Rep.
December 1, 2005
Andrew Osterland
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. mark for My Articles similar articles
Registered Rep.
March 16, 2012
Kristen French
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like. mark for My Articles similar articles