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Voices: Moving from a commission account to a fee-based account with an additional risk tolerance questionnaire does not equal sufficient Know-Your-Customer or suitability measures.
March 9
Totum Wealth -
Firms should strike a balance between modernizing tools and maintaining client service, says Michael Paley, chief operating officer of Klingman & Associates.
March 9 -
The advisor was a compulsive gambler who continued to bet in an attempt to make his clients whole, says attorney.
March 8 -
The advisor also beat back Wells Fargo's $200,000 in claims for breach of promissory note.
March 8 -
Advisors who ignore clients’ progeny risk declining assets and a scramble for revenue sources.
March 8
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Many investors are improperly using target-date funds and are losing the "set it and forget it" benefit; plus, what Social Security checks will look like if cuts are made.
March 8 -
As a repository like Microsoft SharePoint grows, the firm's best content gets dumped in with all the rest - the good, the bad, and the ugly.
March 8
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Some advisors have found great success by focusing on business owners. Heres how to become the go-to planner with this prosperous group.
March 8
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TIAA-CREF rebranded itself last month, renaming itself TIAA and launching a redesigned website, TIAA.org.
March 8
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BlackRock issued and sold more shares than it was authorized to in its iShares Gold Trust, which could lead to penalties by regulators.
March 8
