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Only a small fraction of firms have increased their use of client testimonials and endorsements in the wake of the SEC’s updated marketing rules, according to a recent Investment Adviser Association survey.
Most consumers research and read reviews before booking a doctor, hotel, or restaurant. Why should it be any different when it comes to finding an advisor?
Advisors Jerry Kanter and Scott Mason are leaving Securian after more than 30 years with the broker/dealer, in the wake of its planned acquisition by Cetera.
We expect to see more M&A activity from larger institutions that have remained on the sidelines so far. Existing RIAs will need to consider the implications.
Allianz's guilty plea in the case was unusual. Most companies resolve government investigations by paying money and pledging corrective actions without admitting any wrongdoing.