New Fiscal Year Will Bring More Advisor Cases: SEC Enforcement Chief
By Melanie WaddellSEC enforcement chief Andrew Ceresney says the agency will continue to bring cases on matters like fees and conflicts of interest.
October 10, 2014
Hacked: What to Do When Cybercriminals Hit Your FirmCybersecurity is a constant threat, and considering how attractive a target a financial firm is, especially if it serves high-net-worth clients, advisors should be prepared for the worst.
October 10, 2014
Krawcheck Calmly Rips Microsoft CEO Over Comments on WomenKrawcheck criticizes Satya Nadellas advice that women shouldnt ask for raises but should rely on karma instead.
October 10, 2014
Raymond James Sees Growth in RIA Unit; Adds Social Media, ETF OfferingsRelaunched and reinvigorated RIA custody unit has 110 RIA clients with $10 billion in AUM, adds Hearsay Social platform and 120 no-transaction-fee ETFs.
October 09, 2014
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICIMeanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.
October 07, 2014
9 Creative Ways for Financial Advisors to Acquire ClientsIf your client acquisition tactics have become tiring or boring, theyre probably also not working very effectively, either.
October 06, 2014
Focus, Dynasty Add Teams; Morgan Stanley Grabs 4 FAs With $660MBoutique firms continue to attract registered reps, including some from the wirehouse firms.
October 02, 2014
30 Best iPad Apps for Financial AdvisorsHere are advisors' favorite apps for networking, productivity, travel and more, according to ClientWise and its readers.