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Articles tagged "Ron Rhoades"


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 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.

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

The 'best interests' standard of the stock cop ignores classical arm's-length principles, of economics and the law, implicit to the entrusting of care to professionals by evoking wonders of bare-knuckles capitalism

February 1, 2016 at 8:13 PM

Richard Ketchum professed support for a fiduciary standard,then, in the same speech, opposed the DOL's proposed rule-making, calling it 'problematic.'

Tick, tick, tick ... FINRA rewrites 'culture,' 'conflicts of interest' and 'ethics' into a farcical 'best interests' code after DOL drops a bomb on its suitability ethos

In its latest burst of bureaucratic creativity, the wirehouse cop acknowledges the scourge of Wall Street culture then quickly excuses the behavior it elicits

January 29, 2016 at 6:33 PM

Ron Rhoades: I say let these firms so depart the marketplace! There are many, many investment advisory firms willing to provide trusted advice for reasonable fees.

Why Wall Street's DOL killer threat -- that 'millions' of IRA investors will go unadvised under new rules -- is hogwash

Investors already have options and Wall Street's withdrawal, already in progress, can only improve investor outcomes

June 8, 2015 at 10:29 PM

Don Trone: The individuals I am critical of are the members of fiduciary advocacy groups who have turned a blind eye to unethical, and in some cases, illegal behavior.

Where Barbara Roper and Ron Rhoades lose traction in their fiduciary arguments

Lay fiduciary decision-makers have difficulty in discerning conflicts of interest.

March 2, 2015 at 6:19 PM

Ron Rhoades: Don’s view reflects a misunderstanding of the breadth of the fiduciary principle.

Why I disagree with Don Trone's characterization of Obama's fiduciary stance as 'punitive'

The essential component of fiduciary duty -- loyalty -- is what separates the advisor from the salesperson, according to fellow fiduciary advocate Ron Rhoades

February 27, 2015 at 12:06 AM

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

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

Ron A. Rhoades: I don't believe that Republicans are immune to the persuasion of science.

Why RIAs (Republicans, too) need to snap out of willful ignorance about climate change to claim the mantle of wealth stewardship

Conscientious financial advisors must engage in real due diligence of original documents related to this subject

May 20, 2014 at 6:37 AM

Steve Anderson became RIABiz' top Q1 newsmaker when he announced his firm had 'fired' $25 billion worth of 401(k) clients.

How rising RIA super-bloggers, 401(k) brush fires and a short RIA-Salesforce courtship captured RIABiz readership

As we examined our top 10 articles Q1, the common denominator was ... an RIA intangible that you know when you see

April 24, 2014 at 6:28 AM

Michael Kitces: There's very little other ongoing  'work' tied to blogging, once everything is set up.

The RIABiz top 10 industry blogs -- and which bloggers they recommend

The RIA business is a land of micro-niches where owner-operated blogs are often the best reading spot for advisors to find the vibe and the level of granularity they seek on a subject

January 15, 2014 at 5:52 AM

Yale professor Ian Ayres was this year’s wild card, causing near panic among RIAs with his ominous mass mailing to 401(k) plan providers warning them to cut back on fees — or else.

10 most-read RIABiz stories of 2013 and why you couldn't resist them

This year's potpourri includes young Horatio Algers, aged Cassandras, irate investors and a professor with the 401(k) industry in his sights

December 18, 2013 at 9:12 PM

Ron Rhoades: There was a time when the SEC was respected. No more.

How the SEC has pulled a vanishing act, looking the other way while brokers with flimsy pretenses hold themselves out as trusted advisors

The federal keeper of the standards has stopped battling brokers from calling themselves 'wealth managers', advertising 'trust' or looking the other way on principal trades

December 17, 2013 at 8:05 PM

Michael Askker: Of course, we're going to defend it.

Private-equity firm buys the Loeper-Wealthcare financial planning patent and big-time business execs are running with the ball

Here comes a CEO with an IPO under his belt, a Smith Barney legend and the E*TRADE baby-commercial guy

December 9, 2013 at 7:53 PM

Lauren Schadle: We need to go back to our roots with a laser-like focus for why FPA was created in the first place -- and that is to support the CFP professional.

Lauren Schadle shows mettle as FPA stakes out turf in skirmish with CFP Board at its national conference in Orlando

Despite a no-show Phyllis Borzi, the FPA Experience was a substance-filled event in which the organization sought to redefine and reclaim its soul

October 22, 2013 at 5:00 PM

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