BD Charged With Fleecing Seniors With Unsuitable Products, High-Pressure Contests
In one case, a woman dying of cancer in Massachusetts was pressured to buy a variable annuity.
SEC Chief White: Fintech May Need New Regulation
At inaugural fintech forum, SEC’s Piwowar said SEC should take the “lead regulatory role” in the fintech space.
Advisor Group Says Price ‘Is Right’ for CEO Slot
The IBD firm, which has some 5,000 reps, taps a former wirehouse and tech executive for the position.
Tech Winners, Losers Under Trump Administration
After crashing on the news of Donald Trump’s election, the broad stock market partially came back, particularly bank stocks.
Digital Advice Market Will Reach $83B by Year End: Cerulli
Growth is projected to reach $385 billion in the next five years, according to a November report by Cerulli Associates.
LPL Hosting First Stand-Alone Event for Female Advisors
The conference is bringing together 100 registered reps and others to focus on leadership, wellness and more.
Forget the Elevator Speech: 5 Steps to Telling Your Story
The key to your marketing story, says Megan Carpenter of FiComm, is what happens after you tell it to prospects.
Use Automation, Checklists to Create Efficiencies
Automation and systematized processes help advisors avoid "acting in chaos" when clients have difficult questions.
Forget Robos; Regulations Now Top Driver of Advisor Tech
Unlike previous years, trending topics this year at T3 Enterprise were focused on how to comply with growing regulatory and cybersecurity requirements.
Technology Drives Service at TCA
For advisors and financial professionals, “2017 is going to be bumpy," says Joshua Pace, president and CEO of Trust Company of America.