Blog Contributors

Richard Roth

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that concentrates in litigating securities arbitrations and SEC/FINRA enforcement actions. He has earned a...

The FINRA Roach Motel: Dismissing a FINRA Arbitration

Motions to dismiss are integral to the court system – they give defendants the opportunity to sidestep hundreds of thousands of dollars in legal fees and unnecessary time defending legally baseless claims. As for the courts, it clears up the docket by allowing judges to only adjudicate legitimate cases, freeing up court time and....More

Abby Salameh

Super Mom, Power Pilates and anything covered in chocolate.  These are the things Abby enjoys, in addition to the financial advisor industry.  For over 20 years, Ms. Salameh has been intimately involved in the evolution of the advisor industry; from her early days at Sanford C....

Mar 18, 2015

I am Going Independent and Want to Gain Media Exposure

In the midst of conducting at least 100 tasks to go independent, don't forget to put together some press releases and contact local media to gain awareness for your new found firm!....More

Lawyers: FINRA Still Hasn’t Fixed BrokerCheck

PIABA criticizes BrokerCheck, RBC Wealth Management adds to its investment portfolio and the outcome of the election shouldn't affect investment portfolios....More

Conrad Teitell

Conrad Teitell, A.B., LL.B., LL.M., 98.6. Chairman, National Charitable Planning Group, Cummings & Lockwood, Stamford Conn. For information about Conrad Teitell's publications and lectures visit ...

Conrad Teitell Dec 07, 2015

Charitable Gifts: Date-of-Delivery Rules

The date-of-delivery rules vary—depending on the type of property contributed and how it’s transmitted to the charity....More

David Trainer

Trainer brings insight and transparency to research on stocks, ETFs and mutual funds.

Rating Breakdown: Best & Worst ETFs & Mutual Funds by Sector

This report focuses on my top picks and pans for all sector funds. I will follow this summary with a detailed report on each sector....More

Ryan W. Neal

Ryan W. Neal is an associate editor for Originally from Sacramento, Calif., Ryan studied English and philosophy at UC Santa Barbara and found his way into journalism. After spending a few years in the Colorado Rockies as a...

Oct 13, 2016

Study: Avoid Technology, Miss AUM Growth

A new RIA in a Box study found that avoiding technology could make it harder for an advisory firm to grow AUM....More
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