Get Ready for Wave of Client Complaints, Compliance Issues
By Thomas D. GiachettiThere should be a surge in customer complaints and securities arbitration filings tied to this year's "Corona Crash."
April 27, 2020
Wirehouses, IBDs Share Updates on Comp Policies, Services & Exec HiresWall Street and Main Street broker-dealers are moving in different directions in response to the coronavirus pandemic and their own strategic plans.
April 27, 2020
IRS Provides Coronavirus Filing ReliefIndividuals and businesses, IRA rollovers get July 15 extension; new filing tools launched.
April 25, 2020
Merger to Create Biggest Firm on LPL's RIA PlatformFinancial Resources Group and Gladstone Wealth Group are combining their 670 advisors and $24 billion in assets.
April 24, 2020
SBA Will Accept New PPP Loan Applications on MondayA number of smaller RIA firms "have applied or are interested in applying for PPP loans, given the economic uncertainty." said Karen Barr of the Investment Adviser Association.
April 24, 2020
Why Your Tech Tools Should Work Across GenerationsToday's clients and prospects want personalized digital experiences, especially those in younger demographic groups.
April 24, 2020
FINRA Wants IAR Info to Be Available on BrokerCheckThe SEC's investment advisor database recently added BrokerCheck info.
April 23, 2020
How Advisors Can Thrive in a Virtual Environment"The key is to embrace the change," a senior manager at TD Ameritrade says.