About RIAcast's Host:

Matt Baum, Esq. is an active securities and commercial litigator.  He is a Partner at Ellenoff Grossman & Schole LLP.  Matt's practice focuses on representing financial industry participants, including broker-dealers, advisors, and investment advisory firms. He represents clients in customer and industry disputes, FINRA and SEC Enforcement proceedings and investigations, securities licensing issues, employment matters, transitions, arbitrations, and court actions.  Matt can be contacted at (212) 370-1300 or at matt@riacast.com.

Ep. 16: The CIO Roundtable, Part 1

On this episode, RIAcast is joined by four Chief Investment Officers who have been participating for several years in a roundtable with regular meetings in which they openly share ideas and discuss and troubleshoot issues...

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Special Edition Episode 1: No Protocol, No Cry

This special edition episode of RIAcast was prompted by Morgan Stanley’s departure from the Protocol this past Friday, November 3, 2017.  Morgan Stanley’s Protocol exit has caused considerable buzz and debate in the...

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