Advisor Worries: A Top 10 List

April 2013
Financial Planning;Apr2013, Vol. 43 Issue 4, p21
The article presents the author's insights regarding the poll on the concerns and worries of financial planners in their profession. The author cites the eroding confidence of investors in investment systems and global economic stability. He mentions the possibility of economic meltdown which may be triggered by Wall Street and Ponzi schemers. He also adds the concern on the harassing regulations of the Financial Industry Regulatory Authority (FINRA).


Related Articles

  • The Risk of Hide and Seek. Burke, Jennifer Woods // Financial Planning;Oct2011, Vol. 41 Issue 10, p83 

    The article discusses the importance for financial advisors to disclose financial troubles as emphasized in a U.S. Financial Industry Regulation Authority (FINRA) enforcement action. It relates the case of an advisor who faced a lien charge from the Internal Revenue Service (IRS) in April 2007....

  • Two found guilty in UK's largest ever Ponzi scheme. Salih, Chris // Fundweb;3/5/2012, p7 

    The article reports that investment advisors John Anderson and Kenneth Peacock were both found guilty of unlawfully accepting deposits from investors in Ponzi fraud scheme in Great Britain. It is noted that it was ruled by the High Court that deposits from consumers were accepted by Pruthi,...

  • STEERING CLEAR OF INVESTMENT SCAMS. Shouse, Cathy // Saturday Evening Post;Mar/Apr2008, Vol. 280 Issue 2, p52 

    The author of the article discusses ways to prevent being involved in scams perpetrated by con artists. These scams include Ponzi schemes which usually collapse, leaving the investor holding a worthless property. The article lists a set of warnings to check which includes investigating the...

  • Understanding Risk Tolerance to Remain Compliant. Evensky, Harold; Moreschi, Robert W. // Journal of Financial Planning;Jul2011, Vol. 24 Issue 7, p28 

    The article discusses how financial planners can strategize risk tolerance to maintain compliance regulations in the U.S. It states that risk tolerance is an important factor in offering desirable advice, considering the demographic and financial factors. It mentions that the Securities and...

  • The Jaws of Defeat. CLARK, BOB // Investment Advisor;Jan2013, Vol. 33 Issue 1, p41 

    The article discusses the failure of U.S. Financial Industry Regulatory Authority (FINRA) to regulate registered investment advisors (RIAs). It is noted that FINRA's weakened position on the Financial Services Committee is being exploited by the Coalition for Financial Planning, which comprises...

  • FINRA Review, Investor Choice Act Highlight Arbitration Anomalies. Waddell, Melanie // Investment Advisor;Sep2013, Vol. 33 Issue 9, p17 

    The article focuses on the two initiatives in the controversial practice of arbitration agreements. It states that the Financial Industry Regulatory Authority (FINRA) will reexamine a proposal in arbitration cases which permits brokers to strike black marks from their record. Moreover, another...

  • Will Advisors Tell All? WILLIS, BILL // On Wall Street;May2013, Vol. 23 Issue 5, p41 

    The article offers information on the professional attitude of investment advisors towards their clients in the securities industry in the U.S. It reflects on a rule proposed by the Financial Industry Regulatory Authority (FINRA) demanding advisors to provide details to clients regarding their...

  • GROUPTHINK: THE TRAP OF CONSENSUS INVESTING. Wright, John P.; Schaal, David // Journal of Financial Planning;Jul88, Vol. 1 Issue 1, p41 

    Groupthink describes the power of the group to alter the opinions and perceptions of the individual, even against the individual's better judgment. This is particularly visible on Wall Street, say the authors. This article demonstrates the existence of groupthink, examines its roots, and...

  • Grassroots Champion: Wilson Williams.  // Investment Advisor;Sep2012 FSI Voice, p14 

    The article offers information on the participation of Financial Services Institute (FSI) member Wilson Williams on Financial Industry Regulatory Authority (FINRA) District Committees. Williams states that building stronger involvement with FINRA District Committees has improved the...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics