February 8, 2012

Don’t believe the hype of Facebook IPO: Asset manager

By Jeff Benjamin

The timing of Facebook's IPO could hardly be better, but one asset manager thinks the first few years of appreciation are already priced in, a lesson learned from Google’s IPO.

• equities,
• social media

February 3, 2012

Not clued in about LinkedIn? Big mistake, advisers say

By Andrew Osterland

Social networking a swell way to land clients; 'great platforms'

• social media

February 2, 2012

Wealthy clients on FaceBook deal: Z-z-z-z-z ...

Many passing up what's seen as risky, over-hyped bet; don't want to be 'the last money in'

• social media

January 5, 2012

Mind your social-media compliance programs: SEC

By Dan Jamieson

Finra has warned investment advisers to examine the effectiveness of their social-media compliance programs based on findings from recent SEC adviser examinations.

• compliance,
• Financial Industry Regulatory Authority (FINRA),
• Securities and Exchange Commission (SEC),
• social media

January 4, 2012

SEC accuses 'RIA' of using LinkedIn in alleged scam

By Lavonne Kuykendall

The SEC has filed a cease-and-desist order against an Illinois who called himself a registered investment adviser and a representative of a broker-dealer online and used social media in an attempt to scam gullible investors.

• fraud,
• Securities and Exchange Commission (SEC),
• social media

December 30, 2011

Tweet away: Finra backs off social-media posting regs

By Dan Jamieson

The Financial Industry Regulatory Authority Inc. has backed away from a proposal that would have required broker-dealers to file social-media postings with the regulator.

• Financial Industry Regulatory Authority (FINRA),
• Securities Industry and Financial Markets Association (SIFMA),
• social media

December 19, 2011

Advisers embrace media, old and new

By Lavonne Kuykendall

From apps to amplitude, embracing old and new media can pay off for advisers

• social media,
• technology

November 23, 2011

IG who's hounded SEC in doghouse over adviser's YouTube video

The U.S. Securities and Exchange Commission's internal watchdog has come under scrutiny for comments he made in a 75-minute videotaped interview about the agency and the stock market to a man who markets a “crash-proof retirement” plan through the Internet and a paid radio program....

• Securities and Exchange Commission (SEC),
• social media

November 2, 2011

Adviser's YouTube video attracts $1M client

By Lavonne Kuykendall

While it'll never compete with Justin Bieber, one financial planner's You Tube post on standards of client care has become an unlikely hit. In fact, he's even attracted a million-dollar account thanks to the unusual come-on.

• social media

August 16, 2011

Advisers not using social media are missing out on clients: survey

By Lavonne Kuykendall

Financial advisers who aren't social networking are losing potential customers, especially among the affluent, according to a survey of wealthy investors.These investors may consider an adviser or provider to be “behind the times” if they do not use social media to some extent, and...

• social media