Kristen French

Features Editor,

Kristen French has been editing and writing news, features and analysis on the wealth management industry for seven years. Prior to that she wrote about business, markets and investing for in New York and Bridge News newswire in Santiago, Chile. She lives in Brooklyn, studied English at Williams College and hails from Winnetka, Ill.

Posts by Kristen French

in Due Diligence Jun 22, 2012

SEC Charges Florida Advisor with Hiding Lunar-Based Investing Strategy

According to SEC charges released Friday, Gurudeo "Buddy" Persaud applied an “astrology-based” formula to money management, consistent with his view....More
in Due Diligence Jun 21, 2012

Merrill Fined For Overcharging Clients $32 Million

Whoops. Merrill Lynch charged clients a lot of fees it wasn’t supposed to—$32 million, to be exact—and failed to provide certain....More
in Due Diligence Jun 14, 2012

Investors Still Shy About Alternatives

By now, we’ve all heard that so-called alternatives have practically gone mainstream. Following the market crisis of 2008 and 2009, when....More
in Due Diligence Jun 11, 2012

FSI Adds Lobbying Muscle With App

The independent broker/dealer industry just added a little muscle to its lobbying punch. The Financial Services Institute, an IBD trade group,....More
in Due Diligence Jun 05, 2012

Pay Gap Between Corner-Office Brokers and RIA Advisors Narrowing

Wall street corner-office advisors are taking home quite a bit less these days than they were in the late 90s and early 2000s, and if you cut out....More
in Due Diligence Jun 04, 2012

Opposition to SRO for Investment Advisers Grows

The chorus of “boos” against Congressman Spencer Bachus’ SRO bill is growing ahead of the hearing scheduled for Wednesday of this week....More
in Due Diligence May 24, 2012

Reg FD May Protect Facebook, Morgan Stanley

Considering investors have filed a class-action lawsuit against both Morgan Stanley and Facebook over the selective disclosure that occurred before....More
in Due Diligence May 24, 2012

Fees on High-End Wealth Management Falling

Banks are hoping that managing wealth for the very rich will plump up their profit margins, but margins on high-end wealth management are getting....More
in Due Diligence May 10, 2012

FINRA Used Fuzzy Math in SRO Estimates Say Adviser Groups

Investment adviser groups released an analysis by the Boston Consulting Group today calling into question cost estimates calculated by broker/dealer....More
in Due Diligence May 10, 2012

New Salvos Fired in Merrill Deferred Comp Case

The heated battle between Bank of America/Merrill Lynch and former brokers Tamara Smolchek and Meri Ramazio over unpaid deferred compensation....More
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