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Articles tagged "Knut Rostad"


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Roger Hewins: The issue of conflict is real and complicated -- unavoidable, really.

What an RIA should make of Wall Street Journal's expose of how Schwab, Fidelity and TD Ameritrade's advice machines steer client assets

Product of a six-month of investigation, the Jason Zweig and Anne Tergesen-authored article alleges conflicts at the discount brokers are rife -- but RIA reactions to the revelations are textured

January 27, 2018 at 12:43 AM

Don Trone: You've seen the old-school testing with the wires out of the head, but today it's wireless and it looks like a swim cap and you don't even need the goop to keep it on.

Claiming DOL rule has no handle on truth, Don Trone crafts lie detector test to assess RIA brains

The Neuro-Fiduciary & Governance Psychometric Instrument involves an EEG, an interview and six colleagues willing to vouch for your true fiduciary bona fides

December 24, 2017 at 5:23 AM

Anthony Scaramucci: I believe that you have to subordinate yourself to the greater good of the team.

Anthony Scaramucci tweets his way to Donald Trump's side after flaming out of investment business

After jumping into the fray to defend Donald Jr. on Twitter, 'the Mooch' -- once (maybe twice) fired as a Goldman Sachs broker -- will craft communications for Donald Trump as financial and legal smoke threatens to burst into flame

July 21, 2017 at 11:45 PM

Joel Bruckenstein: I turn and think to myself this guy looks a lot like Marco Rubio.

Joel Bruckenstein pitches DOL rule to Sen. Marco Rubio after fate makes them JetBlue seat mates

Rubio opened up on small investors and retirement issues -- and cracked wise about the Russians

April 17, 2017 at 6:38 PM

Edmund Murphy added to a blitz of attaboy comments by financial execs after draft appeared to seek delay of DOL rule.

How Trump's backtrack on DOL rule burned his most ardent anti-rule supporters and the opening Elizabeth Warren is exploiting

Threat of losing DOL rule sparks a new public consciousness and the Massachusetts Senator gives shout-out to Betterment, XY Planning and BlackRock

February 7, 2017 at 10:46 PM

Knut Rostad: RIAs must also say what non-fiduciaries don't, won’t or can't do. They must highlight tasks that, in fact, many non-fiduciary firms won’t let their brokers perform.

Where RIABiz's view of RIAs as oases-of-ethics bumps up against the Merrill Lynch & Co. mirage -- and why that mirage is still so effective

Fiduciary watchdog Knut Rostad warns that RIAs must zealously expose wirehouses tricked out in best-interests-of-the-investor drag

January 6, 2017 at 6:33 PM

Ron Rhoades: The worst case would be adopting a rule and calling it fiduciary when it is actually a much weaker standard.

At MarketCounsel, a Ron Rhoades-Skip Schweiss exchange reveals new DOL-rule threat -- a Trump-led compromise creating a mutant strain of the reg that benefits no one

The problem, Rhoades says, is that a pseudo-fiduciary standard asks consumers to assume the burden of knowing what's best for them when it comes to investing, which brings the problem full circle

December 7, 2016 at 8:33 PM

Knut Rostad: Phyllis Borzi moved heaven and earth with the tools she had and I think we let her down. I think we were too polite.

How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal' -- and why tort lawyers are licking their chops

End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'

April 7, 2016 at 3:10 PM

Knut Rostad: A new group could help stimulate much-needed changes .... I don't presume for a second they will.

In rebuke of Wall Street, Raymond James, William Blair and Stifel help form non-wirehouse advocacy group to 'shed baggage' but not without a suitcase of SIFMA ideals

American Securities Association proclaims a fresh 'voice' but for now seems to be a rebel with a cryptic cause

February 24, 2016 at 10:44 PM

Mark Casady: That is an extreme. I don't see that happening, but that is kind of the range of the thinking.

LPL CEO floats orphaning 3% of its brokerage business in prelude to DOL 'travesty'

Mark Casady says he may lop off brokerage accounts of $15,000, citing looming rule changes

October 30, 2015 at 6:28 PM

President Obama: There are a whole lot of advisors that do put their clients first.

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

Knut Rostad: Tony ... note to self: ‘Listen to Chuck, Jack and David.’

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

Lou Harvey: It does mean that annuity sales will no longer be a 'caveat emptor' type of transaction.

'Paradigm shift' in 401(k) flows opens the DOL door for annuities in 401(k) plans and RIAs are split

In the wake of DOL and Treasury rulings, some fiduciaries, certainly not all, seem willing to give the oft-reviled instruments a chance

October 28, 2014 at 6:27 PM

A congressman, an engineer, an airline pilot and a court reporter walk into a fiduciary conference...

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

Knut Rostad: One unfamiliar with the nuanced differences in play may well ask, 'What, again, is wrong with being suitable?'

Op-Ed: The fiduciary standard is in worse shape than it was four years ago

The teachable moment of Lehman's collapse seems to have dissipated, and forces of dissimilation are winning the day

January 11, 2013 at 4:41 AM

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