Client communications

From trying to time the market to assuming financial advice is unaffordable, investor errors are wide-ranging.

With class actions up for appeal and a daunting process facing some ex-servicemembers, the Biden administration faces tests of its commitment to equality.

The custodian has 15 firms scheduled to transition before the end of this year. It hopes to migrate each of them over in less than six weeks.

Participants will instead be directed to use internal referrals or LinkedIn messages, according to a person familiar with matter.

Financial advisors, asset managers and researchers are racing to fill in the information gaps Americans reported in a new J.D. Power survey.

In a panel discussion, three financial advisors explained why the products are often misunderstood and how to assist clients in evaluating their policies.

Financial advisors and even competitors to Robinhood say the self-directed service has opened the door to new potential clients.

At FP’s INVEST conference, executives from major firms explained how the coronavirus has altered the advisor and client experience for the long term.

The LPL and Private Advisor Group financial advisor serves on the Connecticut Autism Advisory Council, and he’s an expert in disability planning.

The policy issues grow more urgent every year, but lawmakers haven’t passed any significant legislation for nearly 4 decades.

The founder of advisor consulting service Level Best answered FP’s queries about the best and worst practices in wealth management. 

The annual full-service investor rankings picked a new winner for 2021 while tracking major generational differences.

More than half of the broker-dealer’s clients say they’re interested in increasing the share of socially-responsible investments in their current portfolio.

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.