Nerd's Eye View

SEPTEMBER 27, 2024

Also in industry news this week: As brokerage firms have faced a wave of lawsuits regarding the low interest rates paid on cash sweep accounts, some legal experts believe that RIAs could also be targeted for legal action if they allow clients' uninvested cash to sit in a cash sweep account rather than investing it or moving it to a higher-yielding (..)

Financial Planner 246

Financial Planner Fiduciary Duty CFP Accounting 246

WiserAdvisor

JUNE 12, 2022

For example, some advisors are paid via commissions on the sale of financial products like stocks, mutual funds, policies, etc. Although financial advisory services may not always be very economical, its benefits, more often than not, may outweigh the expenses. Ensure that the financial advisor is bound by fiduciary duty.

Financial Advisor 52

Financial Advisor Fiduciary Duty Commission Financial Planning 52

Brown Advisory

JANUARY 3, 2023

Imagine an investment manager who seeks to avoid geopolitical and regulatory risks, leveraged situations due to high capital intensity, and companies that are highly sensitive to commodity prices, economic cycles, or changing consumer preferences. Sounds reasonable, right?

Fiduciary Duty 52

Fiduciary Duty Management Investing Investments 52

Brown Advisory

JANUARY 3, 2023

Imagine an investment manager who seeks to avoid geopolitical and regulatory risks, leveraged situations due to high capital intensity, and companies that are highly sensitive to commodity prices, economic cycles, or changing consumer preferences. 1 1987, the United Nations Brundtland Commission definition of sustainable development.

Fiduciary Duty 52

Fiduciary Duty Management Investing Investments 52

Brown Advisory

JANUARY 3, 2023

Imagine an investment manager who seeks to avoid geopolitical and regulatory risks, leveraged situations due to high capital intensity, and companies that are highly sensitive to commodity prices, economic cycles, or changing consumer preferences. 1 1987, the United Nations Brundtland Commission definition of sustainable development.

Fiduciary Duty 52

Fiduciary Duty Management Investing Investments 52

Sara Grillo

NOVEMBER 14, 2022

Do advisors breach fiduciary duty when they fail to recommend annuities? Should those with only insurance licenses that allow them to sell annuities and/or life insurance be held to the same “fiduciary standard” as Registered Investment Advisers (RIAs) with the SEC or state regulators? Are commissions bad?

Insurance 59

Insurance Retirement Financial Advisor License 59

The Big Picture

JUNE 20, 2023

And so I would see how the over-the-counter desk, over-the-counter stock desk would push stocks and encourage brokers to sell them, put a lot of commission in them, to move them because some big seller was coming into the market. MORGENSON: And it was, so Steve was a candidate that had economic ideas, okay? RITHOLTZ: Right.

Insurance 147

Insurance Healthcare Retail Medicine 147