Although the number of brokers who change jobs in 2010 won't approach the level seen during the financial crisis, expect this to be a good year for broker recruiting.
Morgan Keegan & Co Inc. has lost another arbitration case stemming from a blow up of its bond funds to a former professional athlete, this time liable to a former NBA all-star for $1.45 million in damages.
Instead of handing out charts and graphs to clients to explain their financial plans, adviser Gary Klaben provides “mind maps.”
If you would like to use an effective communications technique to win over prospects, retain your best clients and inspire trust, tell a story.
Registered representatives should be careful about mixing personal use of social-networking sites with business use, a Finra executive said today.
It is a very competitive market out there right now, with financial advisers offering a range of investment options and insurance products.
Don't miss an opportunity to communicate your service levels to clients and prospects.
You need to be prepared to reassure nervous clients with sound advice and analysis.
A bill has been introduced in the Washington state legislature that would double estate taxes for residents.
While practice management experts said advisers must maintain a fine line between finances and personal issues, it's not uncommon for advisers to forge close friendships with their clients.
Ken Kaltman, chief operating officer at National Compliance Services, Inc. in Delray Beach, Fla., will soon have a lasting memento of his $15,000 donation to the Clinton Bush Haiti Fund. He'll be the proud owner of the wingback chairs that both former presidents actually sat in for their “debate” at the TD Ameritrade conference earlier this month.
Reflecting the rebounding economy, financial advisers are attending more conferences and taking more courses for continuing-education credits.
The failure of Congress to strip the fiduciary exemption from broker-dealers may turn out to to be the greatest marketing opportunity ever for financial advisers
Following the tumult of 2009, advisers see better days ahead for their practices this year--with the majority of advisers now focused on growing their businesses again.
You too can set your practice apart from the competition by identifying and promoting your platinum services.
The failure of Congress to plug the 2010 estate tax loophole has created considerable uncertainty.
With the estate tax laws set to expire by year-end — and no clear indication when Congress will address the issue — some financial advisers and attorneys see an opportunity for their high-net-worth clients in this extremely muddled situation.
Finra expects to bring cases against brokerage firms involved in selling private placement offerings next year, its head of enforcement said today.
