Results for "social media"

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Why social media matters

February 13, 2012

Some advisers have adopted social media strategies that have now actually translated into new business. Here's how.

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

February 8, 2012

The initial public offering market has been on a tear lately, but the level of hype around Facebook Inc.’s upcoming IPO should serve as a sign of caution to investors, according to Josef Schuster, chief executive of IPOX Capital Management...

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

February 2, 2012

Wealthy investors aren't clamoring for a piece of Facebook Inc. (FB)'s initial public offering because some own the stock through private transactions while others shy away from risky technology deals, according to advisers. “It's kind of...

Mind your social-media compliance programs: SEC

January 5, 2012

Investment advisers should examine the effectiveness of social-media compliance programs, the SEC said yesterday in a risk alert. The alert was based on findings from recent SEC adviser examinations and came as the Securities and Exchange Commission...

SEC accuses 'RIA' of using LinkedIn in alleged scam

January 4, 2012

The SEC has filed a cease-and-desist order against an Illinois man 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. Anthony Fields,...

Tweet away: Finra backs off social-media posting regs

December 30, 2011

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. In an update to a package of proposed communications rules filed with...

Advisers embrace media, old and new

December 19, 2011

Long before there was social media, advisers took to the airwaves to get their messages out. Stanley H. Molotsky started the “Molotsky Money Hour” on radio stations near the Southern New Jersey headquarters of his advisory firm, The SHM...

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

November 23, 2011

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...

Adviser's YouTube video attracts $1M client

November 2, 2011

While it'll never compete with Justin Bieber, one financial planner's You Tube post on financial standards of client care has become an unlikely hit. (Watch video below) In “Top 7 Things Your Wall Street Broker Doesn't Want You to Know,”...

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

August 16, 2011

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...

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