Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
5 Brokers Who Crossed FINRA in Q4
By Janet LevauxAdvisors did everything from obtaining credit cards using fake names to lying under oath, regulator says.
December 27, 2016
U.S. Consumer Confidence Jumps to Highest Level Since 2001Measure of Americans expectations surges to a 13-year high after Trump election; more households expect better economy, labor market in year ahead.
December 22, 2016
FINRA Awards Rep $417,000 Over FiringA regulatory panel ruled that Southwest Securities wrongfully fired and defamed Kimberly Rose.
December 22, 2016
Ex-Rep, Radio Host in Texas Arrested for $6M FraudThe charges against Bobby Eugene Guess include theft and money laundering tied to a Ponzi scheme.
December 22, 2016
U.S. Bancorp Wealth Unit Taps Former-Wells Fargo Exec for Key PostKaren Wimbish served as the head of the bank's retail retirement group and president of Wells Fargo Advisors' Latin American Group.
December 21, 2016
The Market Is Ambiguous. Does Your Investment Strategy Need to Be?Since yesterdays winners are so frequently tomorrows disappointments, three suggestions for keeping your clients invested regardless.
December 16, 2016
Investors A-OK With Their Investment Management: E-TradeInvestors' top resolution for the year is to use more online tools, the E-Trade survey found.
December 15, 2016
The New Social Security ConversationThe elimination of the file-and-suspend strategy created a new conversation about what age is best to claim benefits.