Melanie Waddell

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  FINRA Up to Its Old Tricks With SRO Strategy Shift

  By Bob Clark, AdvisorOne  |  February 12, 2013

  FINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.

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  What’s Behind FINRA’s Newfound Move on Disclosing Broker Bonuses?

  By Bob Clark, AdvisorOne  |  January 11, 2013

  A cynical observer might think the impetus for the newly "fiduciary conscious" FINRA's proposed rulemaking was to discourage brokers from demanding bonuses when they switch broker-dealers.

• The Jaws of Defeat

  By Bob Clark, AdvisorOne  |  December 21, 2012

  Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.

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  Clear as Mud: The CFP Board’s Blackbox Oversight Process on Ethics

  By Bob Clark, AdvisorOne  |  November 7, 2012

  In the digital age, the Board’s process in the Alan Goldfarb, et al., case just doesn’t cut it. And what’s up with The American College piling on?

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  What Consumers Want: NAPFA’s Infographic Is Good, But…

  By Bob Clark, AdvisorOne  |  October 17, 2012

  ...it fails to address the question that should be top of mind for the entire financial planning community: Why don’t more people go to financial planners?

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  Brokers Manage Products; Investment Advisors Manage Process

  By Steve Weydert, CFP, MS  |  July 24, 2012

  The absurdity of suggesting that investment advisors and broker-dealers often provide “indistinguishable services” demonstrates a stunning depth of misunderstanding regarding the two industries.

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  On Dodd-Frank’s 2nd Birthday, Should Investors Celebrate?

  By Knut A. Rostad  |  July 20, 2012

  Individual investors have not witnessed dramatic regulatory changes favoring investors over the past two years, but they seem to be voting with their assets, moving them more toward fiduciary advisors.

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  Crowdfunding: What Could Go Wrong?

  By Bob Clark, AdvisorOne  |  July 5, 2012

  Is the JOBS Act’s embrace of crowdfunding a good idea? Is it what Congress meant to protect investors?

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  Scottrade’s Spirit; Pursuing Practice Excellence; Fiduciary Best Practices: July Investment Advisor—Slideshow

  By Editorial Staff  |  June 27, 2012

  Most people are happy enough to talk about themselves, but Brian Davis, who is the focus Investment Advisor’s cover story, consistently highlights his team’s efforts in providing value and service at Scottrade’s institutional arm.

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  Advisors Speak: Do BDs Want to Know How Advisors Feel About Industry?

  By Bob Clark, AdvisorOne  |  June 20, 2012

  If policymakers are truly interested in increasing investor protections, they should at least listen to the professionals who work directly with those investors.