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Articles tagged "Marilyn Mohrman-Gillis"


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

Thursday 9.18.14
Marilyn Mohrman-Gillis: Quite frankly, what we're spending is less than half a percent of all financial services' expenditures.

How the CFP Board is getting its $40 million's worth from its advertising campaign and how it isn't
Unaided recognition of CFP certification jumps about 90% in three years ...assets stemming from that, not so much

Thursday 7.24.14
Before the lights went out: A consumer panel says what it knows about what it doesn't.

TD throws its first client-best-interest summit, a micro-event, by 'candlelight' in Palm Beach and ideas rise from the RIA deeps
As members of a consumer panel bitch creatively, fed up advisors dig deep for ideas that depend less on DC vicissitudes and more on RIA will and unity

Monday 6.17.13
Tom Nally and Fred  Tomczyk put their heads together before the opening session.

TD Ameritrade Institutional Elite Summit boasts big firms, big ideas and a defiance of the weather
A combined $133 billion AUM of advisors -- made up of 133 advisors -- made for rareified, if highly humid air in Palm Beach

Friday 6.14.13
Marilyn Mohrman-Gillis: The organization that appears to be pulling numbers out of thin air is FINRA.

FINRA comes up with cost projections for its SRO and the CFP Board blasts them
FINRA is still angry that Boston Consulting Group did not consult them and says they created numbers "out of thin air"

Monday 5.14.12
Chuck Moran, of the CFB Board of Standards board of directors: “We were looking for a more definitive recognition of financial planning."

GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes

Wednesday 1.19.11
Skip Schweiss: "I had in mind that some organization that is familiar with the fiduciary standard practiced by RIAs would set the standards, then perhaps an organization like FINRA could lend its examination expertise/process/infrastructure."

Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down
As action moves to Congress, a flurry of meetings and Schwab's appearance

Friday 1.14.11
David Tittsworth: I feel alone out there a lot of the time.

Testy words pass between advisors and regulatory panelists at MarketCounsel conference
RIAs are shocked by how bad things have gotten in Washington

Friday 11.19.10

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Most Emailed Stories »

Naureen Hassan's departure from Schwab did not necessitate a replacement nor did she take anyone's place at Morgan Stanley -- unless you want to say she replaced Greg Fleming.
5 shares
What exactly to make of Morgan Stanley poaching robo-talent Naureen Hassan from Schwab on the heels of Greg Fleming's departure

Mike Durbin: You get investment in your business because you prove that you're delivering a return for it. And I feel like we're doing that.
4 shares
After years of work to gain parity with Schwab RIA custody, Fidelity is ready to show fruits of its $250 million move to gain an edge

 Mark Egan: Holding brokers to a fiduciary standard over the period 2008-2012 would have increased investor returns by as much as 2.73% per annum.
1 shares
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

ETF.com's Dave Nadig [l.] warned that unchecked growth could exacerbate liquidity issues in the high-yield bond market.
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An advertiser's chats from the Inside ETFs event and the Vanguard-versus-the-world chess match they depict

Chris Harris: I'm not sure why then you'd buy so much stock ahead of that trend, as opposed to waiting until after the fact and then you'd have all kinds of dry powder.
1 shares
Goldman Sachs and Wells Fargo analysts ask unobsequious questions as LPL shares fall below 2005 private equity levels and Mark Casady pleads the 'Spanish Inquisition' defense


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