Last week a group of 12 industry heavyweights, including the likes of Paul Volcker and John Bogle, announced their signing of a letter calling for regulators to move forward with a universal fiduciary standard of care. I had the pleasure of ch...
It was just two months ago that Financial Planning Association President Paul Auslander was suggesting that the organization was ready for fresh views on its future—a new chief executive, for example, didn’t necessarily have to come from withi...
What better place than Florida, the retirement capital of the world, to see how registered reps can screw up selling something like life insurance.
Take the case of the Poughkeepsie, N.Y. brokerage firm, Prime Capital Services Inc. and its f...
A while ago -- admittedly a long time ago -- hedge fund customers had all the fun. Investors obtained their non-correlated giggles through diverse strategies such as trading around mergers, following futures markets trends, pitting long equity...
