Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
Morgan Stanley Agrees to ARS Buy-Back Deal, Fines (Aug. 14, 2008)
By Janet LevauxNew York Attorney General Andrew M. Cuomo has announced another series of agreements to provide liquidity to consumers who purchased auction rate securities. Under the latest agreements, Morgan Stanle
August 11, 2008
Barclays Launches 529 Plan With a TwistBarclays Global Investors and Upromise Investments recently launched the iShares 529 Plan, the first 529 plan designed with portfolios that invest exclusively in iShares Exchange Traded Funds (ETFs).
August 08, 2008
Citi-New York Deal: A Win-Win? (Aug. 8, 2008)While New York Attorney General Andrew M. Cuomo and Citibank say they are "pleased" with their recent auction rate securities, or ARS, settlement reached August 7, at least one industry veteran is app
August 08, 2008
UBS Reaches ARS Deal with States (Aug. 8, 2008)UBS says it reached a settlement, in principle, with the New York Attorney General, the Massachusetts Securities Division, the Securities and Exchange Commission (SEC) and other state regulatory agenc
August 07, 2008
Citi Settles with N.Y.-Cuomo (Aug. 7, 2008)New York Attorney General Andrew M. Cuomo has announced a multi-billion dollar agreement with Citigroup Global Markets, Inc. and Citi Smith Barney (collectively, "Citigroup") to settle allegations tha
August 01, 2008
Passing the BatonMost small-business owners don't have an exit strategy -- and that's just as true for financial advisory firms as it is for their business-owner clients....
August 01, 2008
Consultant Says: FAs Should Go Blue!Consultant Says: FAs Should Go Blue!(Hollywood, Fla.) Roch Parayre of Wharton spoke during Pershing's INSITE 2008 on how advisors can benefit from the ideas in...
August 01, 2008
Van Eck Targets MideastWhen it rains, it pours. And lately, it's been pouring Middle East-focused exchange-traded funds (ETFs). Van Eck Global is the latest provider to introduce an...