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  • Dec 19, 2014
    blog

    The Daily Brief: Lawsuit: Schorsch Accused of Cooking ARCP's Books

    Lisa McAlister, ARCP's former chief accounting officer, has filed a $50 million lawsuit in New York State accusing former ACRP Chairman Nicholas Schorsch of ordering her to manipulate quarterly financial results....More
  • Dec 18, 2014
    blog

    The Daily Brief: What's Your Succession Plan?

    The SEC is working on a rule that would require financial advisors to create transitions plans in case or retirement or a major disruption in their business....More
  • Dec 17, 2014
    blog

    The Daily Brief: The Case Against Technology in Investing

    Anyone with a computer and an E-Trade account can trade stocks these days, but is that actually a good thing? Cullen Roche, the founder of Orcam Financial Group, argues that technology is adding to the "get rich quick" mentality of investors, who are ignoring the long-term....More
  • Dec 16, 2014
    blog

    Busted: Alts Manager Taken Away in Handcuffs

    Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and charged with securities fraud....More
  • Dec 16, 2014
    blog

    The Daily Brief: A Bullish Anniversary

    Twenty-five years ago Monday, New York sculptor Arturo Di Modica delivered "Charging Bull" to Wall Street, where it became an icon of investment prowess. It was not well received at the time....More
  • Dec 15, 2014
    blog

    The Daily Brief: Check Your Credentials

    If you're reading this, odds are you aren't the problem, but there are plenty of folks out there posing to be financial advisors and using a wide variety of defunct, outdated or nonexistant credentials to get their hands on other people's money....More
  • Dec 12, 2014
    blog

    The Daily Brief: What Retirement Crisis?

    There is no retirement crisis in America, writes Ramesh Ponnuru, for Bloomberg View. Instead, it's all a matter of how you decide to interpret the data....More
  • Dec 11, 2014
    Article

    Former SEC Chair Harvey Pitt Endorses Third Party Examiners for RIAs

    Every single investment advisory firm registered with the Securities and Exchange Commission should be examined every year, said Harvey Pitt, the former SEC commissioner, and the SEC should certify outside auditors to conduct the exams....More

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