Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
Why Advisors Should Act Like Fiduciaries With or Without DOL Rule
By Bernice NapachIt's what their clients expect now, according to a panel of investment consultants at the TD Ameritrade annual LINC conference.
February 02, 2017
FINRA Expels BD, Bars CEO for Fraudulent Muni Bond SalesRobert Lawson transferred millions of dollars from a deceased client's trust to hide bond borrowers' poor financial condition.
February 01, 2017
Senators Ask Wells Fargo CEO to Explain Alleged Fraud Cover-UpSix members of the Senate Banking Committee are inquiring about reports that the bank shredded and forged documents to hide fraud.
February 01, 2017
New Tech Scam Warning Shows How Vulnerable We AreClients or advisors themselves might fall prey to a new, clever telephone fraud.
February 01, 2017
Study Finds Parent-Child Disconnect on Discussing Estate PlansFidelity has introduced an online tool to facilitate the estate planning process.
January 31, 2017
Robo Clearing Firm Apex Taps Envestnet's Fiske to Head Retail OpsRon Fiske joins Apex, which clears for robo-advisors like Betterment, from Envestnet and will head its retail operations.
January 31, 2017
Betterment Now Offers Human Advice, Restructures FeesThe largest independent robo-advisor now offers 3 services: digital, digital plus and premium.
January 27, 2017
Piwowar Named Acting SEC ChairmanWith former SEC chief White's departure at the end of the Obama administration, the SEC now has two commissioners.