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Posts Tagged ‘oversight of RIAs’

Attention: All Investment Advisers and Investors…

Posted by Larry Doyle on May 3rd, 2012 7:29 AM |

The financial regulatory landscape is poised to change and, as far as I am concerned, not necessarily for the better.

Will you be merely a spectator or do you care to participate in the legislative process that WILL impact most of you? Are you an investment adviser? Are you an investor with funds managed by an investment adviser?

If you fall into either of those camps, I exhort you to get involved. I encourage you to become part of the process and the solution and not merely a bystander. How so? Let’s navigate.  (more…)

John Lounsbury: “A Very Low Opinion of FINRA”

Posted by Larry Doyle on January 24th, 2011 7:00 AM |

“Who will protect me?”

How many investors in our nation continue to ask that question?

A lot!!

Throughout the crisis of the past few years and certainly well beyond that, investors have come to appreciate that they really need to learn to protect themselves. Why is that? We have rampant evidence  that neither Wall Street nor the financial regulators overseeing Wall Street have truly protected investors. So now what? (more…)






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