Marketing Technology
Get the latest news and insights about marketing technology used by financial advisors and throughout the financial services industry.
August 12, 2024
Raymond James Nears $50M SEC Settlement Over Texting IssuesThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.
August 09, 2024
SEC Hits RIA With $430K Marketing Rule FinePacific Financial's hypothetical performance ads were disseminated on its website rather than to an intended audience.
August 08, 2024
Advisors' Biggest Problem With the SEC's Marketing RuleA new survey finds more than a third of firms are unclear on the meaning of one key term.
August 01, 2024
Dropbox Co-Founder Claims JPMorgan Advisor Cost Him Over $225MArash Ferdowsi alleges that he was steered to unsuitable investments rather than index funds.
July 31, 2024
Merrill Unveils New Scheduling Tool for Clients, ProspectsMeetings can be easily arranged and rescheduleed as needed based on advisors' real-time availability.
July 26, 2024
Morgan Stanley Rep Fined for Making Unauthorized Trades, Texting ClientThe firm has agreed to pay more than $15 million in arbitration cases tied to the rep's conduct.
July 16, 2024
Off-Channel Communications Now Advisors' Top Compliance ConcernTwo new compliance surveys named unapproved messaging channels as the topic of the moment.