News, Vision and Voice for
the Advisory Community
advertisement

Content tagged "Pat Burns"


The Law Offices of Patrick J. Burns, Jr., P.C.

Filed under: Attorney, RIA Set-up Firm, Specialized Breakaway Service
See full listing in the directory »


Ray Lucia: I'm pretty depressed that the government has such disdain for successful people and will stop at nothing to destroy them.

Why RIAs need to pay heed to a ruling that put a media star and advisor out of business -- and out $300,000
A judge ruled that Ray Lucia lacked the back-up to justify his hypothetical back-tests as the SEC pins a bull's eye on the strategy

Friday 7.19.13
Pat Burns: FINRA has been in the red financially and the addition of thousands of new member firms with their membership fees would certainly be helpful to its bottom line.

FINRA is making dog whistle comments hinting its SRO ambitions still simmer
'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk

Monday 3.18.13
Patrick Burns: By opening the door for RIAs to have their arbitration cases held before a FINRA arbitration panel, it seems that FINRA has taken another step in its quest to become the SRO for RIAs.

Analysis: Beware of a FINRA bearing gifts for RIAs
The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them

Friday 12.7.12
Pat Burns: Maxine Waters (D-CA) said that she was putting together her own legislation that would center around user-fees.

Cheat sheet on Wednesday's Bachus fracas
Not all Republicans were thrilled with the plan that would make FINRA king

Friday 6.8.12
Glenn Neasham: I didn't do anything wrong.

How Glenn Neasham lost his house, was forced to go on food stamps and faces jail time after selling a senior an indexed annuity
The case of this Lake County, Calif. insurance agent gives pause to advisors and agents dealing with seniors -- and indexed annuities

Wednesday 4.4.12
Brian Hamburger: If anything it's sending the message that the SEC is not putting a high price tag on the cost of maintaining an ongoing compliance program.

How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?
Did the embattled agency go too far -- or not far enough?

Wednesday 11.30.11
Tejal and Rahul Shah: I was on the phone like Jerry Maguire, Rahul says, I had all my e-mails prepared for clients and I pushed send, send, send.

Why one Merrill Lynch advisor needed to break away twice to become an RIA
Rahul Shah's first breakout attempt to Wachovia's FiNet fizzled and, his wife, Tejal Shah masterminded the second effort

Tuesday 2.22.11
Colin Powell mentioned RIAs by name in his speech, showing a familiarity with the business that's has been uncommon among outsiders.

TD Ameritrade's conference gives rise to 9 reasons for optimism about the RIA business
The industry is advancing across a wide swath; one sign is TD's self-assessment

Monday 2.7.11
Shirl Penney: We are very satisfied with the terms of the agreement.

Dynasty Financial Partners ends legal squabble with Bank of America, clearing deck for growth
The high-profile startup may have passed up chance to win its case, an attorney says

Tuesday 1.25.11

From the RIABiz Directory »

The Industry Sourcebook for RIAs


An
Exclusive Webinar Video

Answering the Rarely-Answered Questions of Becoming an RIA

brought to you by Play

Browse All Archives


2014


    April
    March
    February
    January

2013


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2012


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2011


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2010


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2009


    December
    November
    October
    September
    August

Most Emailed Stories »

Patrick Sheppard: Getting back into the retail world and getting back into the high-net worth world was more fulfilling than dealing with institutions on a global basis.
6 shares
Why a $500-million RIA Rt. 495 start-up hired a no-book ex-BNY Mellon Asset Management CFO

Tom Valverde's hire is part of Fidelity's new 'geographical' sales strategy.
4 shares
Fidelity Institutional bags Pershing's RIA sales chief and gives him a lesser title

Charles Goldman: We bought the firm hoping the CEO would be there.
2 shares
Charles Goldman speaks from the CEO Summit hotel about what he didn't see coming at AssetMark and how it changed his life

Fidelity's alt investments brain trust: 'It used to be three guys and a dog in Greenwich.'
1 shares
Fidelity, Goldman Sachs and Morningstar call 16 top reporters to New York to define the RIA alts problem -- and to explain how their Dream Team solves it

Victor Fettter: We believe there's a special sauce that LPL can provide and I don't think there's one size fits all.
1 shares
Victor Fetter turns his guns on LPL's thorniest software challenge -- 21st century performance reporting


Get the RIABiz Today
Email Alert »