Displaying 238 results
Tepper made big bets with shareholders’ money
I enjoyed the Just Thinking column “The great Easter hedge fund blowup” (April 12).
If disclosed, 12(b)-1 fee is legitimate charge for honest service rendered
I don't understand the flap about service fees, and think that Blaine F. Aiken was wrong about many of his assumptions and representations (the Fiduciary Corner column “Let's say goodbye to 12(b)-1 fees,” which appeared in the Jan. 18 issue).
12(b)-1 fees pay for more than just hand-holding
I have a solution for Lee Feldman's salespeople who are worried about losing their income derived from 12(b)-1 fees (“Keeping 12(b)-1 fees discourages churning,” Feb. 1).
Errico’s enforcement style left a lot to be desired
Robert Errico, who is leaving the Financial Industry Regulatory Authority Inc. as head of its member regulation division this month, used exams to hammer firms large and small with complaints, fines and expulsions as a way to enforce regulations that had no direct bearing on investor protection.
Welcomes Bernie Clark with open arms
I read the article “Schwab hands Bernie Clark reins to RIA business,” which appeared in the Feb. 8…
Getting a head start on end-of-life issues
In a hospital room in the winter of 2004, we fought hard to have a choice.
Letter to Schapiro focuses on fiduciary, 12(b)-1 fees
I thought I would share a letter I sent to Securities and Exchange Commission Chairman Mary Schapiro, which was prompted by one of your articles last year.
Dressing professionally is always the right choice
This is my 37th year of practice, and to this day, our office has no dress-down day.
Check state rules before doing Roth conversion
I would suggest that your readers check their state regulations before advising high-income clients to consider completing a Roth individual retirement account conversion.
Right office décor shows caring environment
I read the article “Office décor can color bottom line,” which appeared in the Nov. 30 issue, and I couldn't agree more about how much this matters.
How can the S&P 500 be beaten by discarding performance?
How can the S&P 500 be beaten by discarding performance as the determining factor? Never. Why is…
Finra’s ads denigrate members of industry
I appreciated the Just Thinking column that appeared in the Nov. 2 issue (“BrokerCheck could use a checkup”).
Independent firms should handle all trade clearing
Besides raising the assets under management level to $100 million to move firms from state to federal regulation (“Advisers to SEC: Take our money, please,” Oct. 12), the Securities and Exchange Commission could effectively control fraud by having independent clearing firms handle all trade clearing, including the big wirehouses', and have client reports come from the clearing firms, not the broker-dealers.
This is an online response to a story by Sara Hansard that appeared last week, “Advisers, public fear possibility of wider reach for Finra,” on the adoption of a key addition to the proposed Investor Protection Act that would give the Financial Industry Regulatory Authority Inc. power to oversee any adviser associated with a registered broker-dealer, including about 500 dually registered Finra members.
Fiduciary duty for brokers would oppress, not protect
As an attorney who frequently advises brokers, broker-dealers and financial advisers, I read the article “Debate over fiduciary duty heats up,” which appeared in the Oct. 5 issue, with interest and some dismay.
Article on life settlements offered balanced analysis
I teach “Credit Default Swaps 101” at New York University, and I am a strategist in the global debt markets.
Letters
Re: the article “B-Ds reel from higher SIPC fees,” which appeared in the Aug. 10 issue, I too am outraged because my broker-dealer will most likely pass its costs on to me, the little guy.
Letters
The editorial that appeared in the July 13 issue of InvestmentNews, “Congress must enact regulatory reforms carefully,” encourages Congress to pass more regulations and legislation to somehow protect the investing public and the financial system in general.
Letters
Large number of advisers do act as fiduciaries I enjoyed the Other Voices column in the July 20…
Letters
I read with interest the article “Compensation: SEC mandate called too broad,” which appeared in the July 20 issue.
