Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
SEC Hits Merrill for $11 Million Over Faulty Short-Sale Orders
By Melanie WaddellTwo Merrill entities admitted to using inaccurate, old data when executing short-sale orders for customers.
May 29, 2015
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus RulesThe new broker bonus plan runs counter to the current industry debate over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
May 28, 2015
529 Plans: The College Savings Tool Most Families Don’t Know AboutAbout two-thirds of families don't know what a 529 plan is, according to a recent survey. Here's what your clients should know.
May 27, 2015
What Firms Claim About Their Brokers’ Fiduciary Duty (and Lack Thereof)Broker-dealers publicly market themselves as putting their clients first. But when it comes to arbitration cases, they sing a different tune.
May 22, 2015
Bernie Madoff: Making Your Job Harder—The 2015 IA 35 for 35Five years after Madoff was sentenced to 150 years in prison for conducting the biggest Ponzi scheme in history, investor confidence still hasnt fully recovered.
May 21, 2015
Sallie Krawcheck: Ellevating Leadership—The 2015 IA 35 for 35Ellevate Networks leader stresses the importance of women to management and to the industry.
May 21, 2015
Women: ‘The Largest Emerging Market in the World’The conversation is shifting from "stark gender comparisons toward discussions that focus on how the investing world must adapt and embrace women," says Mellody Hobson.
May 20, 2015
George Kinder: Life Planning Is the Future—The 2015 IA 35 for 35"It's really impossible to be a fiduciary without being a life planner," Kinder says.