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Summary: MIAMI —“I feel that all of our websites, all of our LinkedIn profiles, all of our digital presence is vanilla,” John retorted as he shook his head to reinforce his disapproval, then asking “Are we just wasting our time with all of us looking the same and saying the same thing?”
Added on March 2018 in Join an RIA
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Summary: How can breakaway FAs be certain they’re not breaking the law when reaching out to former clients? After all, concerns about whether advisors broke their contractual agreements by soliciting old clients to join them at their new firms are at the center of many current disputes between broker-dealer firms and their former FAs.
Added on March 2018 in Form an RIA
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Summary: The Securities and Exchange Commission’s exam division is targeting bad brokers to complement the crackdown being conducted by the securities regulator’s enforcement division, according to Pete Driscoll, director of the agency’s Office of Compliance Inspections and Examinations.
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Summary: Massachusetts set off alarms across the brokerage industry earlier this month when it charged Scottrade with violating the DOL fiduciary rule. At the heart of the complaint: allegations concerning the firm’s use of sales contests.
Added on February 2018 in Blog
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