Janney's biggest investment in social media is public relations...their advisers are not using social media yet but it will happen#finra
— Jim Pavia (@jimpavia) May 22, 2012
Finra panel: avoid investment product specific discussions in social media or networking postings#finra
— Jim Pavia (@jimpavia) May 22, 2012
Finra panel says avoid confusion.the firm's team needs to convey the same company message when posting on various social media sites.#finra
— Jim Pavia (@jimpavia) May 22, 2012
vanguard panelist says firm goal is to go to where their investors reside in social media. They use FB twitter and private community#finra
— Jim Pavia (@jimpavia) May 22, 2012
At finra:panel says pressure is on firms to build customized apps for Facebook. Firms need to think it through and do so with caution#finra
— Jim Pavia (@jimpavia) May 22, 2012
Social media compliance is a hot topic: attendees at finra conf have heads down and are taking tons of notes at panel discussion #finra
— Jim Pavia (@jimpavia) May 21, 2012
At finra: panel says reps must redirect biz questions on their personal social media sites to work sites for recordkeeping obligation#finra
— Jim Pavia (@jimpavia) May 21, 2012
Faulty Forms 1099 and account statements reportedly left some Vanguard brokerage customers overpaying or underpaying taxes for over a decade.
The democratization of ETFs cuts both ways
Independent broker-dealers snap up experienced advisors as competition for established practices intensifies.
Derek Flowers, a nearly 30-year veteran, is set to retire in mid-January, handing the reins to the executive who helped lead the bank's regulatory turnaround.
The campaign spans broadcast TV and streaming, as the brokerage faces slowing client net flows and an $8.1 billion advisor team that left to launch an RIA this month.
As AI makes financial information more accessible than ever, Lana Hock explains why human judgment, trust, and empathy remain the qualities clients value most in a financial advisor
Northern Trust’s Ken Lassner shows advisors how to convert volatility into after-tax portfolio gains
