Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
Ignore the Talking Baby and the Green Line, eMoney Advisor Warns Investors
By John SullivanA YouTube video by eMoney Advisor takes aim at the argument that investors should make their own financial plans by following green lines and listening to talking babies.
May 21, 2013
What It Means to Be an AdvisorAn outspoken group of top advisors convened at the Curian Conference in Chicago to sound off on everything from the political climate to women as a niche market to retirement income and behavior, and more.
May 21, 2013
Advisors’ Tech Strategies Help Boomers but Ignore Gen X and YRIAs are making the mistake of inventing non-tech-related strategies for boomer investors at the expense of developing innovations for Gen X and Gen Y clients, says Fidelity.
May 21, 2013
FINRA Fines LPL $9M for Failing to Monitor EmailsFINRA announced Tuesday that it fined LPL for 35 separate, significant email system failures, and for making material misstatements to FINRA during its investigation.
May 20, 2013
The Price of Everything: What’s the Value of Sound Advice?The SEC Regulatory Accountability Act is yet another attempt by the securities industry to shift attention away from the consumer protections of requiring brokers to put the interests of their clients ahead of their own, by focusing solely on the costs of doing so.
May 17, 2013
Schwab Backs Off on Class-Action Ban—for NowCharles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.
May 16, 2013
Stop Denying Investor Rights: End Forced Abitration NowFor too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.
May 16, 2013
Is Your Client a Skittish Investor? Russell Offers Calming ToolAdvisors can struggle to help clients set realistic expectations for portfolio performance and avoid obsessing over day-to-day market movements.