Most Recent Blog Posts

Jul 28, 2011

In Times of Uncertainty, Turn to ETFs

In times of economic uncertainty and turbulent times, investors have historically turned to exchange traded funds. It happened after the tech bubble....More
Jul 28, 2011

Ameriprise Sweeps Securities America Under the Rug

Looking at Ameriprise Financial's second quarter earnings report, released on the wires yesterday, you wouldn't even think the firm owned or had....More
Jul 26, 2011

Is the Free Pass on Social Media About to Expire?

Wealth management firms have not felt serious pressure to develop social networking applications, but that free pass is about to end, said Bill Doyle....More
Jul 21, 2011

BlackRock’s ETF Darling to Leave After Three Years

Deborah Fuhr, the darling of the ETF research sphere and managing director at BlackRock, will be leaving the firm, amid a restructuring of the firm’s....More
Jul 19, 2011

One Year Later, the Elusion of Dodd-Frank Continues

The Dodd-Frank Act was signed into law by President Obama one year ago this Thursday, but there’s no more clarity about the legislation’s impact on....More
Jul 13, 2011

Lunch with an IBD Leader

I was honored to sit down for lunch today with SagePoint Financial’s Jeff Auld, president and CEO of the independent broker/dealer that has been on....More
Jul 12, 2011

U.S. Asset Managers Bank on Europe

U.S. asset managers are making huge in-roads into the European market, according to a report released Monday by the Boston Consulting Group titled “....More
Jul 07, 2011

BlackRock, iShares Snag Top Spots for Innovation Among FAs

Advisors ranked BlackRock number one for innovation, while its ETF unit iShares snagged the number three spot on the list. The ranking was based on....More
Jul 01, 2011

American Funds Off the Hook for Direct Brokerage Commissions

After a six-year-long battle, the Securities and Exchange Commission overruled a FINRA charge against American Funds Distributors that alleged the....More
Jun 28, 2011

Was the Whitney Worry for Nothing?

Municipal bond funds might be making a comeback, despite what Meredith Whitney thinks, Lipper said. During its second quarter investment outlook....More
Jun 24, 2011

FAs: Face-to-Face is Overrated; Pick up the Phone!

In-person meetings with asset managers are so last year. In a survey by kasina and Horsesmouth’s FA Vision service, the telephone was the....More
Jun 17, 2011

Another Cautionary Tale of Watch Where You Go

A court complaint filed yesterday can provide advisors with a valuable lesson to be careful where you end up… A former BEST Direct Securities rep....More
Jun 16, 2011

Despite Warning, Structured Products Get Day in the Sun at Pershing

Earlier this month, the SEC and FINRA issued a stern warning to investors around structured products promising principal protection: While these....More
Jun 10, 2011

Bush's Lessons For Financial Advisors

Former U.S. President George W. Bush was one of the keynote speakers at Pershing's INSITE 2011 conference I attended this week in Hollywood, Fla....More
Jun 06, 2011

Another IBD Scolded for Due Diligence No-No

Independent broker/dealer David Lerner....More
What's Yield of Dreams?

Casting a gimlet-eye on asset management issues.

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