Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
It's OK to Stay
By Bill MillerHave you ever thought about leaving your broker-dealer? Who hasn't at some point or another, right? Eventually, every broker-dealer screws up. When they do, financial...
April 29, 2010
New Government Web Site Focuses on Financial LiteracyThe Financial Literacy and Education Commission (FLEC) has launched its enhanced financial literacy education Web site, www.MyMoney.gov.
April 23, 2010
High-Net-Worth Americans Feeling "Slightly Wealthier"Prospects for economic recovery are looking up if the attitudes of U.S. high-net-worth consumers can be credited.
April 21, 2010
SEC Charges Goldman Sachs with FraudThe SEC charged Goldman Sachs & Co. (GS&Co), and an employee, Fabrice Tourre, with fraud on April 16, "for making materially misleading statements and omissions in
April 21, 2010
Goldman Sachs, Suitability and the Fiduciary StandardWhat duty does a broker/dealer have when creating securities for clients with opposing interests?
April 20, 2010
ETFs with Goldman Exposure Take Big HitsThe SEC's filing against Goldman Sachs (GS) on April 16 reverberated across Wall Street, as several well-performing banking and diversified financial ETFs with GS exposure got hammered following the announcement.
April 20, 2010
As Goldman Fraud Case Raises SEC Self-Funding Issue and Reform Bill Looms, Schapiro Talks ReformIn exclusive interview, SEC Chairman comments on Dodd bill, fiduciary standard, and SEC staffing
April 19, 2010
Morgan Stanley Hit with Huge Property Fund LossMorgan Stanley expected to lose $5.4 billion, or 61%, of its $8.8 billion Real Estate Fund VI International.