Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
Galvin Charges Citizens Securities With Misleading an Elderly Investor
By Melanie WaddellCitizens Securities, a BD operating within Citizens Bank, put an elderly client in inappropriate investments, the Massachusetts regulator said.
January 06, 2016
JPMorgan Securities Misled Customers About Brokers’ Comp: SECThe BD was fined $4 million for letting customers think brokers had "skin in the game," the SEC said.
January 04, 2016
SEC Investor Advocate to Congress: 'Appropriate Limits' Needed in Elder Fraud RulesSEC's Fleming tells lawmakers that any new authority given BDs and advisors "to intervene in clients accounts" must include "limits on that authority."
January 01, 2016
Lion Street Announces Strategic Partnership With Voya FinancialLion Street is partnering with Voya Financials individual life insurance business.
January 01, 2016
How to Fine-Tune Your Powers of Financial PredictionThere's a rational way to improve one's guesswork, Marshall Jaffe writes.
December 31, 2015
Top 15 Most Expensive States for Long-Term Care: 2015Paying for health care is a top boomer retirement worry and in these states, its easy to see why.
December 31, 2015
15 Cheapest States for Long-Term Care Costs: 2015The old saw about what goes up must come down obviously wasnt coined by someone thinking about the costs of long-term care.
December 31, 2015
10 Investing New Year’s ResolutionsAlong with the familiar examples of collective optimism at the end of every year, the financial industry likes to offer its own New Years resolutions.