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A wise decision from Judge Rakoff
Thank you, Judge Jed Rakoff, for insisting that the SEC and big financial services firms come clean with the facts surrounding their legal battles before asking courts to sign off on a settlement.
Congress is no place for insider trading
GIVEN THE EXPERIENCE of the past few years, many individual investors think that the rich and powerful have…
Be prepared for a tougher SEC
The Securities and Exchange Commission has blundered badly in the past decade, missing several major scandals, including the Enron fraud and the Madoff Ponzi scheme. Most recently, its proposed settlement with Citigroup Inc. was rejected by a federal judge.
Advisers’ altruism is an inspiration
Working with the Invest in Others Charitable Foundation over the past five years has given me a chance to witness the selflessness of people in the financial services industry
SEC must forge ahead in fiduciary battle
The Obama administration, Congress and the SEC need to continue to press forward with their efforts to ensure that brokers are required to act in their clients' undivided best interests at all times
Hark: Beware of Harkin tax plan
Investors, beware of the financial transactions tax proposed by Sen. Tom Harkin, D-Iowa, and Rep. Peter DeFazio, D-Ore
Advisers, regulators must heed MF’s lessons
MF Global's bankruptcy illustrates again that excessive financial leverage is dangerous, that regulators must remain on high alert for dangerous situations and that they must act expeditiously when they perceive that a firm's leverage appears too high
Three cheers for two brave judges
Richard J. Holwell and Jed Rakoff, U.S. District Court judges for the Southern District of New York, deserve our praise.
What the Kansas City incident should teach Finra
Let's hope that Finra has learned a lesson from the public flogging it received after it was reported that a regional official allegedly doctored the minutes of internal staff meetings that were then turned over to SEC examiners
A bipartisan jobs plan is the top priority
It is time our elected leaders and presidential wannabes treat America's jobs crisis as the social and economic catastrophe that it is, and not just as fodder for 2012 campaigns
Don’t ignore the Wall Street protesters
It’s easy to dismiss the Occupy Wall Street movement as a gathering of misguided, hopelessly idealistic brats who…
The cost of a fatter America
As Americans continue to pack on pounds, advisers need to brace their clients — and themselves — for…
Major tax overhaul is long overdue
THE BENEFIT OF IMPOSING higher taxes on the rich is that they would chip away at the nation’s…
Bracing for the college tuition storm
With the economy in the doldrums and the long-term outlook for the U.S. stock market looking more restrained…
Two SROs may be better than one
Millions of investors are at risk of being defrauded because the SEC lacks the financial resources to do an adequate job of policing the advice business
In lean times, advisers earn their stripes
The investment adviser's job has never been more difficult
Time to warn clients about gold scams
Advisers, beware: The dramatic run-up in the price of gold, coupled with increased fear of more economic and market downturns, makes clients especially susceptible to gold-related investment scams
Big hopes for a modest jobs plan
The modestly sized jobs plan President Barack Obama proposed last Thursday, if passed by Congress, might be good news for many financial planning and investment advisory firms, but it seems unlikely to do much for most of their clients
The U.S. debt iceberg still looms
Although the debt ceiling bill passed, the national-debt iceberg continues to grow in size, threatening to sink the U.S economy
Our nation’s interest rate problem
Banks stuck with troubled real-estate-related loans. An economy in the doldrums with high unemployment. No, that isn't a snapshot of today's economy. It is what the United States looked like 30 years ago, as it emerged from the recession of 1980
