Drop the Jargon: Clients Don’t Care
"When I hear the word 'underwriting,' I have a mental picture of people working in hell with typewriters," one consumer said in a LIMRA presentation.
IRS Has New Favorite People to Audit
If you’re scared of an audit by the IRS, there’s less to fear these days — except for one group of taxpayers.
Investors Say They Need 9.7% Returns to Meet Goals
Investors have gotten used to stellar returns, and many are not prepared for another market slump, Natixis says.
Hearsay Social’s New Curated Content Tool Moves Beyond Finance
The tool lets advisors access preapproved content on everything from lifestyle news to sports in order to help build a brand that reflects their personality.
Under the Hood: Understanding Volatility and the VIX, Pt. 1
Asked and answered: Why investors should watch volatility, what exactly is the VIX and is it really predictive of future stock market movements.
SEC, FINRA Enforcement: Boiler Room Scheme Targeting Older Investors Busted
The SEC also barred an accounting officer who cost his company hundreds of millions of dollars in unauthorized trading and loans.
Wells' FiNet Indie Advisors Join FSI
Wells Fargo Advisors Financial Network (FiNet) has gifted complimentary FSI memberships to its 1,250 independent financial advisors.
3 Things Top-Performing RIA Firms Do: Fidelity
A Fidelity study finds three marketing-related factors that top-performing RIA firms have in common.
SEC Charges Ex-JPMorgan Advisor With Stealing $20M From Clients
Michael Oppenheim told clients he would buy them safe muni bonds but instead lost their money in "highly unprofitable" options trading, the SEC said.
Clients in ‘Terror’ Over Health Care as Advisors Go AWOL
Clients’ "terror" is advisors’ error in retirement health care, according to HealthView Services, whose white paper goes through planning steps it says most advisors neglect.