SEC, FINRA Enforcement: International Pyramid Scheme Using Facebook, Twitter Derailed
FINRA also took action against one firm for failing to deliver prospectuses and another for questionable sales.
How Social Media Helps Advisors ‘Seal the Deal’ With Clients
"Goofy pictures" and news on Barbie are just some ways advisors have boosted results using Facebook, LinkedIn and Twitter.
Social Media Is Key to Humanizing Financial Services: SIFMA Seminar
Helping investors is "sexy," and social media helps build trust, execs from Facebook, LinkedIn and Hearsay Social said at a SIFMA seminar.
Gross, El-Erian Clashed in PIMCO ‘Pressure Cooker’
Wall Street Journal says tension with Gross drove El-Erian out; management consultant Eric Flamholtz weighs in on "unhealthy" culture at PIMCO.
Getting Clients to Follow Your Advice: The Self-Sabotaging Client
Olivia Mellan and Kol Birke on what to do when a client persistently takes actions that are not in their self interest.
What the Facebook-WhatsApp Deal Means for Advisors
In the new world order driven by technology, advisors and broker-dealers have to adapt quickly to keep up with clients — and rivals, experts say.
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator Definition
FINRA's board on Thursday approved three rule proposals — including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
4 Steps Advisors Need to Take to Succeed on Social Media
Social business is no longer optional for advisors; it’s mandatory. Here's how to get the best return on your social media investment.
10 Best Finance Tweets of the Month: January
Bill Gross says bring it on, LPL's Burt White gives his Cheesecake Factory Consumer Confidence measure, and advisor Carl Richards wants to smash your iPhone.
SEC, FINRA Enforcement: Money Manager Fined for False Advertising
Also, FINRA hit Banorte-Ixe Securities for failure to act when a client with reported drug cartel ties made $28 million in transfers.