retail brokers

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  SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing Assets

  By Marlene Y. Satter, AdvisorOne  |  November 29, 2012

  Three top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the fund’s assets during the financial crisis. a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...

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  The Top Wealth Managers 2012 Profiles: No. 5—Central Registered Investment Advisors

  By Marlene Y. Satter, AdvisorOne  |  September 11, 2012

  At No. 5 on the list of Top Wealth Managers: Central Registered Investment Advisors, providing a level of comfort for its client base.

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  Why Focus Only on the Surface Costs of Fiduciary Advice?

  By Bob Clark, AdvisorOne  |  September 4, 2012

  It’s time we started talking about what financial consumers are giving up in return for their “free” advice.

• Reality Check

  By Bob Clark, AdvisorOne  |  November 28, 2011

  I was recently accused by one of my friends of being a “numbers guy,” which, as a former philosophy major and professional journalist, I found quite amusing.