Marketing and Communications
Explore the latest news about advisor marketing strategies and wealth management communications.
FINRA Fines Ex-Raymond James Rep for Taking, Altering Client Info
By Melanie WaddellThe rep changed client contact information in Raymond James' system before leaving for Piper Sandler, FINRA states.
December 09, 2025
FINRA Bars Ex-Broker Fired for Doing Business by Unapproved EmailThe ex-Marex Capital Markets rep also provided colleagues his login credentials, FINRA says.
December 08, 2025
How to Ditch Jargon When Talking With ClientsTranslating investment concepts into plain language builds trust, keeps clients confident and supports retention and growth.
December 05, 2025
Pandemic-Era Surge of New Investors Is OverRisk appetite is down, and interest in crypto appears to be declining, FINRA research finds.
December 05, 2025
Top 10 Financial Services Firms for Customer TrustAmerican households are consolidating their relationships with retail saving and investing shops, Hearts & Wallets finds.
December 03, 2025
Model Portfolios Free Advisors to Cultivate HNW Clients: CerulliOutsourcing investment management, research finds, leaves more time to spend on client-facing activities, mainly meetings.
December 03, 2025
SEC Halts High-Leveraged ETF Plans in Warning Over RisksIt aims to block new products that deliver three and even five times the daily returns of stocks, commodities and cryptocurrencies.
December 01, 2025
The 35 Best Food and Drink Gifts of the SeasonWhether you're shopping for yourself, a colleague or a loved one, here are the top edible and drinkable treats of 2025.