Monthly Archives: October 2011

Our October 6th Op-Ed, “FINRA Is An Ineffective Regulator,” highlighted FINRA’s push to take over the regulatory oversight of registered investment advisers (RIAs) – a move that is more about FINRA’s own self-preservation and less about investor protection.  FINRA responded … Continue reading →

Who doesn’t love Apple?  They have sleek and easy to use products, their late CEO was one of the coolest geeks ever, and their stock price has treated shareholders very well.  But one thing we know about stock prices that … Continue reading →

The brokerage business is dead.  With commission rates hovering around zero, making a living by buying and selling securities on behalf of customers is a thing of the past.  Some brokers are reinventing themselves as investment advisers within brokerage firms, … Continue reading →