David Geracioti

The most interesting, power-wielding players in the financial services business today.

The SEC’s Investor Advisory Committee, which was formed to give investors a greater voice in the SEC, has “agreed upon an ambitious and wide-ranging agenda.” Or so says a press release issued by the...

It’s an old story, the brouhaha over auction rate securities. But today’s SEC announcement (it settled with TD Ameritrade over ARS) is another reminder: When your brokerage tells you it has dreamed up a...

Morgan Keegan & Co., a unit of Regions Financial, Morgan Asset Management and three employees each received a “Wells” notice from the SEC, the company stated in a Form 8-K filed by Regions on July 9.

Back in the Great Buying Panic of the late 1990s, I once asked a financial advisor what his biggest problem was. His response: “Managing client expectations.” This question was posed in the summer of 1999...

The central tenet of Modern Portfolio Theory is that diversification should maximize your portfolio's return at any given level of risk tolerance. Or, as David Swensen, the chief investment officer of Yale's endowment...