Most Recent Blog Posts

Jan 10, 2013

Jack Lew: Good for Wall Street, Bad for Investors

President Obama’s choice of Jack Lew as the new Treasury secretary could be good for Wall Street, but bad for investor protection....More
Jan 10, 2013

Morningstar: Be Prepared to Lose a Lot in Bonds

Stocks and bonds had a pretty good 2012, but expected bond returns are negative, according to Morningstar....More
Jan 09, 2013

FINRA’s Most Fond Memory of 2012: One-Upping the SEC?

In its annual year in review, FINRA pats itself on the back for the number of regulatory referrals to the SEC and other agencies. Is FINRA trying to....More
Jan 04, 2013

Another Case of How Bad Firms Come Back to Bite You

A former broker’s case against FINRA was dismissed by the United States Court of Appeals Wednesday, but the case just goes to show that bad firms can....More
Jan 02, 2013

Happy New Year for Stocks? In Years Ending in “3,” Equities Outperform

Since 1900, the S&P gained an average of 7 percent in years ending in “3,” according to S&P Capital IQ. Could 2013 be the same?....More
Dec 31, 2012

Millionaires: Party Poopers on New Year’s Eve

Hoping to meet some promising prospects at a New Year’s Eve party? Think again. Most millionaires plan to stay at home on New Year’s Eve, according....More
Dec 21, 2012

What CFPs Are Saying About the Fiscal Cliff (Hint: Lots of Clichés)

Dec. 21 is a critical day in the fiscal cliff talks, as Congress is unlikely to vote on anything between Christmas and New Year’s. Here’s what some....More
Dec 14, 2012

Could Mobile Be in LPL’s Future?

LPL Financial has hired a new chief information officer from Dell, with the hopes of expanding its technology onto mobile platforms....More
Dec 13, 2012

12 Surprising ETF Trends in 2012

ETFs had a strong year, taking in $154 billion in assets so far. A recent special report by BlackRock reveals some surprising trends about this....More
Dec 12, 2012

Is It Time to Get Back Into Treasuries?

Over the last year, many have questioned whether we could be headed for a Treasury bubble, and since then, flows to Treasuries have tapered off. But....More
Dec 04, 2012

I’m with NAPFA; No More Alphabet Soup

How many designations is too many? Today NAPFA announced it is only going to accept one: the Certified Financial Planner (CFP) designation, for those....More
Dec 03, 2012

Our Stock Markets No Longer Work; Here’s Why

Retail investors have yanked $99 billion out of stock funds this year, but maybe it’s not because of fear. The former CFO of MF Global argues that....More
Nov 29, 2012

House Elects New Head of Financial Services, But SRO May Not Be Dead

Yesterday Republicans tapped Rep. Jeb Hensarling (R, Texas) as the new chair of the Financial Services Committee, a move many have speculated could....More
Nov 28, 2012

A Third of You Say, ‘Raise Taxes on the Rich!’

Surprisingly, nearly a third (30 percent) of advisors polled by the Financial Services Institute said they believe Americans making over $200,000....More
Nov 20, 2012

Investors: Don’t Worry Be Happy, and You’ll Have Better Long-Term Performance

A new study by psychological scientist Jennifer Lerner of the Harvard Kennedy School of Government shows that sadder investors will get higher....More
What's Yield of Dreams?

Casting a gimlet-eye on asset management issues.

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