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Reps say their clients don't want insurance but their clients say they do. If you want to hold onto these clients, you might want to consider their insurance needs more carefully
Imagine the American Cancer Society having tobacco company stock in its portfolio. Or picture the Alcoholics Anonymous portfolio owning a brewery. Though these examples are fictitious, these kinds of things happen: An investor's advisor, intent on...
The Securities Industry Association (SIA) and Wayne Klein, the director of Utah's Division of Securities, have agreed to put on hold Utah's recently approved “failure to deliver” law
Registered reps always have an obligation to do what is in the best interests of their customers, which includes making recommendations that are suitable for their investment objectives and risk tolerance.
“Seniors” account for 44 percent of all investor complaints received by state securities regulators and that number could grow in coming years, according to the North American Securities Administrators Association
Securities regulators say that 60 percent to 70 percent of the complaints they receive concerning fraud are committed by unregistered individuals, while 97 percent to 98 percent of registered reps have virtually spotless records