Adam and Daniel Kaplan were charged with wire and investment fraud and money laundering for misappropriating at least $5 million from dozens of clients, many of whom were elderly or disabled.
It’s based on the idea that you should be current in all areas of your clients’ financial lives, not just their investments.
As a former Merrill ACTM chairperson, Andy Ferguson had an acute view of the changes taking place at the firm. He shares how that influenced his decision to opt for independence over Merrill’s retire-in-place program.
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Gain insight into harnessing integrated technology solutions that streamline back-office operations, deliver personalized insights and attract and retain clients.
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When it comes to succession planning, advisors shouldn’t leave their clients or employees in the lurch.
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RegBI initiatives have impacted the way advisors do business.
