state common law

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  The State of Investor Trust, or Distrust, Fiduciary and the CFP Board

  By Knut A. Rostad  |  October 25, 2012

  Is the argument over a fiduciary standard for all advice-givers, and the CFP Board's position on a fiduciary standard for CFPs, missing the bigger point?

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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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  FINRA’s New Suitability Rule Edges Closer to ‘Fiduciary’: NAPFA Chairman

  By Melanie Waddell, AdvisorOne  |  July 16, 2012

  Ron Rhoades, the chairman of NAPFA, says the rule's biggest challenge is that a BD’s “investment strategy” must now meet suitability requirements.