Firm Fined $70M for Stock, Note Fraud
A holding company, a brokerage firm and their CEO were fined for misrepresenting notes and stock they sold to unsophisticated investors.
Hearsay Social to Support LinkedIn’s Sales Navigator
Social-media focused sellers are 51% more likely to beat their quota than traditional sellers, according to one survey.
DOL Fiduciary Survey ‘Bogus,’ Advocate Warns Lawmakers
Foes of a revised DOL fiduciary rule are using a survey showing a harmful impact to win senators to their side, an industry official says.
In Financial Data, Small Is the New Big
While big data is here to stay, forward-thinking advisors are finding a wealth of relevant information right in front of them.
Which Advisors Have Loyal Clients — and Why?
Client loyalty is a key to advisors’ success. Here's how to keep it afloat.
Robo-Advisors and Online Financial Advice: The Difference
In the end, does the advice clients get come from a human or a (human-designed) computer algorithm? And why is that important?
RCS, Schorsch Jump Into Crowdfunding
The real estate group plans to build the platform, We R Crowdfunding, with assets it's acquiring from Trupoly. Is this a savvy move for RCAP?
Indonesian Reforms Key for Economic Growth, Investment Opportunities
There's a number of different and interesting investment opportunities in Indonesia, in sectors as diverse as utilities and financial services.
The Personality Trait That Predicts Financial Health
A new study shows little correlation between financial knowledge and financial health, finding instead that a deeply rooted personality trait is at play.
Raymond James Recruits 3 Wirehouse Teams, $875M in Client Assets
Meanwhile, Morgan Stanley and Merrill Lynch grab advisors from each other in the latest recruiting push.