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Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again...
The increasing importance that the advisor-assistant relationship plays in the loyalty of today's affluent client prompted the Oechsli Institute to conduct a study on advisors and assistants. Among numerous findings, we were able to uncover seven...
The Financial Industry Regulatory Authority and the Securities and Exchange Commission are stepping up their scrutiny of the accounting and audit process of broker/dealers, reviewing financials more closely and requesting data on a more frequent...
A whole lot of money should change hands in the next few years, as inheritances get passed down to the next generation, according to the Institute For Preparing Heirs. The industry buzz word for this: intergenerational wealth transfer. Today...
Wells Fargo Advisors’ is looking for recruits in out of the way places. In April, Kent Christian, president of Wells Fargo Advisors’ financial services group, told a Securities Industry and Financial Markets Association conference that...
New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. The initiative, aimed at improving transparency for...
The economic threat from unsustainable U.S. national debt—over $14 trillion and counting—is the No.1 concern today for many of the nation's wealthiest families and individuals, according to a new report slated to be released later...
Broker/dealer executives who speak at their national conventions often aim for a tone that rallies the troops, and the Raymond James Financial Services conference in Las Vegas this week followed the pattern—with one surprising exception...
Dallas: “What does your research say is the #1 reason for an affluent prospect to select one financial advisor over another?” asked Tony during the Q & A session following my keynote. This is a question that every advisor wants...