Reading The FINRA Enforcement Tea Leaves
Reading The FINRA Enforcement Tea Leaves
Mar 06, 2014
For several years the FINRA enforcement arm grew bigger and bigger.  Its staff increased.  The number of actions increased.  The number of fines increased.  The number of bars and suspensions increased.  And the number of...
FINRA Backs Away From Personal Data Proposal
FINRA Backs Away From Personal Data Proposal
Mar 04, 2014
Industry regulator FINRA pulled back from its proposal to collect and retain sensitive client information as part of a planned compliance system, according to a notice published Tuesday...
Philip Seymour Hoffman
Keeping Up With Philip Seymour Hoffman
Mar 03, 2014
A tragic death underscores the importance of having a lifelong relationship with your client
Does Your Present Self Hate Your Future Self?
Does Your Present Self Hate Your Future Self?
Feb 28, 2014
“To abstain from the enjoyment which is in our power, or to seek distant rather than immediate results, are among the most painful exertions of the human will.” – Nassau Williams Senior ...
Reading a Client’s “Tell”
Feb 28, 2014
Figuring out what type of personality you’re dealing with can help you communicate more effectively with clients and prospects
The Richest Up & Coming Hollywood Elite
Feb 28, 2014
This year’s Academy Awards nominees feature a number of fresh faces, including ten actors under 40.  While some of these nominees are sure to fade into obscurity, some could join the ranks of the Hollywood elite. These nominations could...
Throw Your “Elevator Speech” Out the Window
Throw Your “Elevator Speech” Out the Window
Feb 27, 2014
When we meet people at parties, networking events or fundraisers our guard is up.  We are vigilant against getting suckered into any type of sales pitch or hidden agenda.  The moment a stranger approaches us, we are on the hunt for their...
Free Agents
Free Agents
Feb 27, 2014
Forgiveness of firm retention packages turns the heat up on recruiting.
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