James Fanto

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  Video: Exclusive—James Fanto on Fiduciary Duty for Brokers and RIA Oversight

  By Kathleen McBride, AdvisorOne  |  February 24, 2011

  Law Professor James Fanto talks exclusively with AdvisorOne’s Kate McBride about the impact of the SEC’s recommendations on RIA regulation and fiduciary duty for brokers.

• Video: Exclusive—Fiduciary Duty for Brokers and RIA Oversight: Who Will Regulate RIAs?

  By Kathleen McBride, AdvisorOne  |  February 24, 2011

  Law Professor James Fanto talks exclusively with AdvisorOne’s Kate McBride about the impact of the SEC’s recommendations on RIA regulation and fiduciary duty for brokers.

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  Video: Fiduciary Duty, Separation of Sales and Advice, and RIA Oversight

  By Kathleen McBride, AdvisorOne  |  February 18, 2011

  Tom Bradley, president of TD Ameritrade Institutional, discusses with AdvisorOne’s Kate McBride why it’s important to separate sales from advice and what his RIA clients say about who should regulate them.

• SEC’s Fiduciary, SRO Studies Considered Linked, Experts Say

  By Kathleen McBride, AdvisorOne  |  February 10, 2011

  Although the SEC’s Fiduciary Study and the SRO Study, are separate, in the eyes of some industry experts and academics that specialize in financial services issues, the two are linked.