SEC, FINRA Enforcement: Ticket-Brokering Pump-and-Dump Scheme Halted
Meanwhile, Merrill Lynch, Pierce, Fenner & Smith was censured and fined by FINRA on two separate issues.
3 Tips to Avoid Social Media Compliance Problems
No matter what social media platform advisors use, here are some important tips for staying compliant.
9 Reasons Why Alan Greenspan Is Wrong About Everything
Former Federal Reserve Chairman Alan Greenspan recently laid out nine reasons the economy stinks. Here’s why he’s wrong, according to New York Life’s John Kim.
Seeing the Glamorous Side of Finance
Virginia Postrel reflects on financial advice and visual persuasion.
Top 12 Tech Trends Impacting Advisors: Mary Meeker
Analyst Mary Meeker draws attention to everything from social media to cybersecurity in her latest talk.
Where Edward Jones Is Tapping Talent
The brokerage has revamped its recruiting strategy—with dramatic results.
SEC Moves to Block $40M YouTube-Based Ponzi Scheme
Investors put money into "virtual concierge machines," which were supposed to operate like ATMs and be placed nationwide.
Learning More About Working With Widows
Kathleen Rehl is currently scheduled to make more than 20 presentations this year, most of them to advisor groups.
Harold and Fiduciary
We knew Harold Evensky has been a proponent of the fiduciary standard for advice givers for some time and that he was a leading light of the Institute for the Fiduciary Standard. So we asked the Institute’s co-founder, Knut Rostad, to comment on Evensky’s contributions.—Ed.
Are Brokers Greedy Scumbags?
Despite bad press and widespread bias, FINRA statistics tell a much different story about the behavior of most financial advisors, recruiter Jon Henschen says.