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The Financial Industry Regulatory Authority continues its crackdown on the sale of troubled private placements, filing sanctions against eight firms and 10 individuals Tuesday and ordering them to pay restitution to investors. According to FINRA...
Over the last year or so, advisors have been struggling to get their clients out of cash, but how much cash are your clients really holding? Investors say they’re holding 27 percent of their investable assets in cash, according to an MFS...
Advisors who sold auction rate securities are finding disclosures on their records in the wake of client complaints after the investments froze in 2008. How much blame should advisors shoulder? And what will be the next product to fail?
Generation x and y kids are not too keen on the big wealth management firms, Sallie Krawcheck said Monday, and that is one of the major challenges the wealth management industry faces over the medium term. The former head of wealth management at...
Despite the compliance hurdles, more than one third of financial advisors see direct handling of clients’ assets by FAs acting as their portfolio managers clearly outpacing other fee-based management styles in the next three years, according to a...
Watch out for high-profile clients. If you make any missteps and they decide to wield their influence, it could really hurt. One financial advisor's tale.
Dallas: “I’ve read your book Elite Teams and thought it was full of useful information,” said Tim in a very complimentary tone. He then followed with his question, “I understand the importance of holding an annual retreat, but I’ve never held one...
