Results for "social media"

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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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