Rick Cortese

• SOX and You

  By Melanie Waddell, AdvisorOne  |  May 1, 2006

  Are you up to speed on Sarbanes-Oxley? That's the law Congress put in place after Wall Street was rocked by the corporate scandals at Enron...

• Tall Order

  By Melanie Waddell, AdvisorOne  |  June 1, 2004

  Compliance. It's the buzzword of the day. Attend an industry conference, and you'll notice that the compliance sessions are standing room only. It's no wonder....

• B/Ds' Compliance Burden Gets Heavier

  By Melanie Waddell, AdvisorOne  |  September 1, 2003

  Ask any broker/dealer what their biggest headache is nowadays, and they'll tell you it's complying with the deluge of new and proposed regulations by the...

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  The First Annual IA 25: 2003

  By Editorial Staff  |  May 1, 2003

  Listing the most influential people within any profession is a daunting task, but the job is particularly difficult within financial planning, where fierce independence is...