The financial health of many affluent families isn't good. That is why most of these families are open to a second opinion regarding their finances.
The death of Michael Jackson underscores the importance of clients' having updated wills and financial plans. You can capitalize on this heightened awareness to be sure all of your clients' financial documents are updated and that their beneficiaries are correctly identified.
Investors are angry, scared and looking for someone to blame for the economic downturn, and unfortunately, advisers often are the scapegoats, bearing the brunt.
Recent raiding at broker-dealers has sparked ugly and bitter feuds and led to significant damage awards, and financial industry attorneys and experts see more cases in the offing.
Lori Richards, the SEC's first and only director of Compliance Inspections and Examinations plans to leave the SEC after more than two decades, the Securities and Exchange Commission announced today.
Coming up with effective marketing initiatives in today's challenging financial environment can be difficult.
Louis Schwarz responds to his clients' concerns even though he can't hear what they are saying.
In their efforts to cut costs, advisers may be setting themselves up for some big expenses.
Financial advisers are facing tough times, with 40% having to cut back on support staff through layoffs or attrition, a soon-to-be-released report has found.
Life insurers and banks bashed the administration’s proposal for a Consumer Financial Protection Agency today at a House Financial Services Committee hearing.
Many financial advisers think that the best way to rebuild their businesses after the economic downturn is to find new clients.
The nearly 800,000 women who become widows each year share something beyond loss.
If you are serious about attracting affluent clients to your practice, keep reading.
President Harry S. Truman, known for his plain speaking, could teach a thing or two to today's financial advisers.
Despite the intense scrutiny on executive compensation by legislatures and regulators, major brokerage firms continue to offer generous recruitment packages to top brokers.
A sprawling case of alleged securities fraud involving an independent broker-dealer and two brokers may wind up costing an insurance company $10.3 million.
In an effort to cut costs and save time, many advisory firms are deciding to forgo hiring summer interns this year.
As new annuity rules continue to develop, chief compliance officers at broker-dealers say that they still face some challenges in implementing compliance procedures with their financial advisers.
Advisers who are members of NAPFA had a range of thoughts and reactions to the news that the SEC last month charged a past president of the organization with taking kickbacks related to unregistered investment pools his firm managed.
Add target marketing to the list of advisory firm best practices being rethought in light of the recession and market slump.
