Client communications

The 37-year veteran advisor’s settlement with FINRA is the latest phase of a two-year saga involving a father-son team at an Indiana practice.

In new academic research, experiments involving selections of YouTube videos shed light on the psychology of conflicts of interest.

Financial advisor Christian D’Urso spends his mornings hiking, kayaking or biking, and his afternoons running a $110 million advisory business on the water.

After obtaining documents through FOIA requests, FP’s Jessica Mathews explains the larger industry implications of one firm’s internal investigation.

Experts say financial advisors can stay compliant with their BD while tapping into the leads and new clients attracted by quality web pages.

The rare move to set aside the regulator’s ruling came more than a decade after the rep ran into trouble by adding notes about his client into a software program.

Denika Tokunaga of Maven Wealth Management answered FP’s queries about challenges, opportunities and growing during the coronavirus.

These conversations might be uncomfortable, but early intervention and planning can help prevent major financial disasters.

Documents shed light on how two brokers overseeing trainees allegedly called hundreds of phone numbers on Merrill’s Do Not Call list.

Now is a crucial time to build and cement the bonds of trust between you, your clients, and your colleagues, says Kimberly Foss.

Technology can make end-of-year client communications more interactive and engaging.

Probabilistic forecasts provide a durable framework for a sound financial future, the author says, and offers some for the new year.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

Just like the industries that they cover, the lack of Black representation among news outlets acts as a barrier against understanding and eliminating systemic racism.

The worst fiscal crisis in decades is pitting U.S. states against one another over billions in taxes from residents working from home.

It won’t just change the composition of corporate board rooms. It may change conversations with clients too.

Planners and experts dive into wirehouse pay, charging clients at a higher rate, emerging business models and other key issues.

Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.

Investing in virtual tools is a must but planners must also seize this moment to expand practices and deepen existing relationships, writes Broadridge Financial's Michael Alexander.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.