In its third suit in as many months, JPMorgan is accusing a former advisor of using its banking referrals to build a book of business and then trying to abscond with those clients to a rival firm.
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Cinda Collins alleged before a FINRA arbitration panel that RBC fired her in late 2019 in an attempt to "steal much of her book of business without compensating her for it."
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Is your firm promoting diversified advisors? Can your clients relate to you despite cultural differences? Those questions and more were addressed by leaders of top wealth firms and regulatory agencies during FINRA's Diversity Leadership Summit this week.
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According to Financial Planning's research, most registered Republicans polled seem to have aligned their personal and business interests, while registered Democrats were nearly evenly split.
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In this month's FACO, we asked how much time advisors spent on their firm's brands, what their marketing objectives were and their main sources of new clients.
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Nearly two-thirds of advisors surveyed this month said that internal training programs or workshops were offered by their firms.
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Across the industry, financial advisors are anticipating a busy 2026. From consumer protection cuts to AI regulation, wealth management could look very different a year from now.
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Many advisors haven't yet begun putting together an exit plan. Experts say there are common features and defined timelines that can help make it work.
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Firms will up their tech investments and continue rewards and punishments designed to shape advisor behavior, says recruiter Mark Elzweig.
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The future of referrals won’t be driverless but it will be largely remote and fueled by pre-COVID fundamentals.
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Probabilistic forecasts provide a durable framework for a sound financial future, the author says, and offers some for the new year.
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An increasingly popular form of lending enables financial advisors and their clients to offset capital gains and find other tax savings.
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An annual RIA compensation survey suggests that firms are paying a pretty penny for financial advisors — but reaping healthy profits.
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As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.
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Whitney Stidom is vice president of employer enablement ateHealth , a leading online health insurance marketplace that helps consumers confidently navigate their health benefit decisions. -
FINRA identifies new ways firms and investors are using technology like AI to spot changes in market sentiment and asks the industry to chime in on how finfluencers and others are using social media.
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Kim Johnson is the Senior Vice President of Customer at
Hi Marley , where she leads the company's customer strategy and ensures that the carrier voice is embedded into the company's product and service offerings. With over 20 years of experience in the insurance industry, Kim has a proven track record in customer experience (CX) strategy, technology, and driving large-scale transformation initiatives. Prior to joining Hi Marley, Kim held senior leadership roles at Liberty Mutual Insurance, where she led CX strategy and managed software product development for servicing and claims. She also spent significant time at Allstate Insurance, working across Technology, Human Resources, and Claims. Kim began her career at Accenture, specializing in change management and consulting for financial services.
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Sponsored by Raymond James -
Sponsored by Raymond James -
Sponsored by Raymond James -
Sponsored by Edward Jones
