Category: Wall Street

What is FINRA?

The initials, FINRA, stand for Financial Industry Regulatory Authority.  This, however, is a misleading description and hardly represents the real role FINRA plays in the...

Who Do You Trust More – Your Accountant or Your Financial Advisor?

There have been many articles that I have read and poll results I’ve seen through the years that place the accountant and/or CPA at the...

Weighing In: Wall Street Wins Again!

Citigroup received billions of dollars in public assistance for a problem it helped create. Now, according to Jonathan Weil at Bloomberg, see What’s Inside the...

Weighing In: Wall Street Hires Judd Gregg to Protect Its Interests

It stands to reason the financial service industry is a major special interest group. In fact, it spends more than $300 million per year on...

Why Does Wall Street Fight Mandatory Disclosure for Financial Advisors?

Very few financial advisors have audited track records or quality ratings by objective third parties. And, there is limited public data that documents the quality...

Industry Regulations Favor Financial Advisors

The financial service industry is loaded with regulations that are not enforceable. For example, there is no way to regulate what financial advisors say to...

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