Kevin Carroll

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  Principles vs. Rules: The Fiduciary Debate in a Nutshell

  By James J. Green, AdvisorOne  |  October 25, 2012

  At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.

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  Breach of Fiduciary Duty Most Common FINRA Complaint

  By Melanie Waddell, AdvisorOne  |  October 23, 2012

  While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.

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  Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.

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  A Tail is Not a Leg

  By Knut A. Rostad  |  October 16, 2009

  As the rhetoric heats up over regulatory reform one is reminded how much political life has not changed all that much since Abraham Lincoln was quoted noting the following: "How many legs does a dog have if you call the tail a leg? Four..."

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  "Federal" versus "Authentic" Fiduciary Duty

  By Kathleen McBride, AdvisorOne  |  October 8, 2009

  Both investment advisors and broker/dealer registered representatives routinely give financial and investment advice to clients. What is still different is the rules that protect those investors.

• The Fiduciary Issue

  By Kathleen McBride, AdvisorOne  |  October 8, 2009

  In a Wealth Manager Webinar, SIFMA's Kevin Carroll and The Committee for the Fiduciary Standard's Knut A. Rostad discuss the differences between SIFMA's proposed "federal fiduciary standard" and the "authentic fiduciary standard."