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Trump, Wall Street, Strive to Make Securities Fraud Great Again
A federal judge Wednesday ruled against opponents of the Department of Labor's fiduciary rule. But the fight isn't over. It's a tough time to be a small investor.
Six Reasons I'm Thrilled Trump Is Ditching the Little Guy Investor
President Donald J. Trump is putting the kibosh on a Department of Labor rule that would have forced brokers to put clients' interests ahead of their own. Here's the upside.
Now You See It, Now You Don't: Adviser Gets Go-Ahead to Zap 11 Investor Complaints From Record
Smart investors make sure to check Finra's BrokerCheck database before they do business with a broker. But what if the broker has managed to clean up complaints against him?
In 2016, an All-Star Collection of Dubious Achievers
When you tally up the heroes and the goats of business in 2016, the goats prevail. Here is a disheartening rundown of the year's best and worst.
Is Your Broker a Trusted Adviser or Just Another Salesperson? Finance Industry Wants It Both Ways
A new report raises questions.
Trump Remembers Wall Street, Forgets 'Forgotten Man' Investor. Sad.
Considering Donald J. Trump's rhetoric, you'd think he'd be inclined to look out for the small investor. Think again.
'Guardian Angel' to Investors Christopher Byron Has Died: An Appreciation
Over a 40-year career as a financial journalist, Christopher Byron exposed corporate scoundrels, dissed Donald Trump and gave Martha Stewart a giant migraine.
Wells Fargo to Abused Customers: See You in Arbitration
Wells Fargo & Co. has filed court papers trying to force customers suing over its unauthorized accounts scandal into arbitration. Financial companies often find that arbitration is a good deal.
UBS Hit With $18.5 Million in Damages, Legal Fees, in Puerto Rico Bond Case
A prominent Puerto Rican businessman and his wife learned that a panel of Finra arbitrators had awarded them $15 million plus $3.3 million in legal fees.
Vanguard Whistleblower Sues Mutual Fund Giant for Wrongful Termination, Distress
Seventeen days after broker Karen Brock told TheStreet about problems with Vanguard's customer account security, the firm fired her. Now she says in a lawsuit that Vanguard violated whistleblower laws.