Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
FINRA Expels BD, Bars CEO for Fraudulent Muni Bond Sales
By Janet LevauxRobert Lawson transferred millions of dollars from a deceased client's trust to hide bond borrowers' poor financial condition.
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.
January 27, 2017
How to (Legally) Settle Disputes With ClientsThese are the essential points in resolving a client dispute without suiting up for court or arbitration.
January 26, 2017
Americans’ Financial Satisfaction Dips Slightly in Q4: AICPABut the accounting group's report still found satisfaction was up from a year ago.
January 25, 2017
How President Trump’s Conflicts Can Help RIAsThe issues around the president's conflicts of interest can serve as a wake-up call to clients unaware of their broker's conflicts.