Brooke Southall

Everyone has problems…it’s how you deal with your problems that makes all the difference. Congratulations, Ron, for taking mitigating actions.

Congratulations to Ron!

Robert is 100% correct. Additionally, unlike many FINRA regulated competitors, he never intended to harm his clients or the industry, or hid the facts.

State of Florida gives low sanction to Ron Rhoades

Rhoades, Ron.png

NAPFA

ScholarFi

Ron Rhoades

The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.

The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.

RIA Compliance

Mitigating factors are cited by the Division of Securities and the resigning NAPFA chair expresses appreciation

State of Florida gives low sanction to Ron Rhoades

Robert Boslego

James W. Byrd

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