FINRA Warns Investors About Fake Financial Designations
By Melanie WaddellThe alphabet soup of designations can be used to perpetrate fraud, FINRA warns.
October 06, 2017
Jordan Belfort, the ‘Wolf of Wall Street,’ Offers (Ethical) Sales Tips for AdvisorsBelfort tells ThinkAdvisor about his Straight Line sales system and how his drug-addled past was actually worse than in the movie.
October 06, 2017
Indie BD Reps Most Likely to Outsource Model Portfolios: CerulliAdvisors making their own investment decisions increases potential liability for broker-dealers under the DOL fiduciary rule.
October 06, 2017
Wagner's Bill to Repeal DOL Fiduciary Rule Set for Markup Next WeekThe House Financial Services Committee is also set to mark up the Senior Safe Act of 2017.
October 05, 2017
How to Attract More Female Advisors and ClientsThis challenge should be top of mind for financial advisory firms, according to some panels at this week's FPA annual conference.
October 05, 2017
6 Personality Traits of the Wealthy and SuccessfulAuthor and financial editor Jean Chatzky discusses what she found from researching 5,000 wealthy and successful people.
October 05, 2017
Brokers Violating DOL Rule by Shifting Clients to Fee Accounts: RoperConsumer Federation of America urges regulators to investigate if firms are found to be exploiting the DOL rule to profit unfairly at their customers expense.
October 04, 2017
SEC ‘Working on’ Fiduciary Rule, Concerned About State Laws: ClaytonSEC and DOL "can cooperate and get there, I believe" on a fiduicary rulemaking, Clayton told lawmakers. "The devil is in the details."