When Robert Dowling was unable for weeks to get in touch with a client by phone — or leave a message — he bought that customer an answering machine and sent it to him with a pre-recorded message.
Instead of handing out charts and graphs to clients to explain their financial plans, adviser Gary Klaben provides “mind maps.”
Just 11 days after Bernard Madoff was arrested last year, federal regulators say an enterprising Queens gentleman started a Ponzi scheme of his own.
As a follow-up to last week's smart-phone story, we decided to look at advisers' favorite mobile applications.
Now is the time to identify client events and seminars for the year. Many advisers have told me they have fewer administrative staff members and lower budgets than in the past and are looking for new ideas for client events and seminars.
Over the weekend, my daughter asked me what our family was going to do to help Haiti.
We are a few weeks into 2010 and you may be wondering what you can do to rejuvenate your practice and spice things up
With the new year comes a surge of resolutions, many of which won't be kept. I recently read that 88% of all resolutions are broken. Why? No matter how well-intentioned, they fail because there is no continuing plan with specific action steps to follow.
The state of Illinois has reached a settlement in its lawsuit over losses in the Bright Start college savings program under which parents will get back $77.23 million — slightly more than half of what they lost in investments handled by Oppenheimer Funds Inc.
Deputy editor Evan Cooper on advisers, brokers, and TV. (Yes, TV)
Carmelo Anthony's lawsuit that accused his former business manager of misappropriating more than $2 million of his assets has been provisionally dismissed by a federal judge in Sacramento, Calif., so the NBA star's lawyers can amend the complaint.
The Securities and Exchange Commission has sued Gary R. Headding and his former registered investment adviser firm, Envision Direct of Newport Beach, Calif., for defrauding two clients of at least $274,256.
For the first time in Villere & Co.'s 99-year history, advisers will not be required to wear suits to the office Friday. Instead, reps and other workers from the New Orleans firm will don Saints jerseys in support of their hometown team's Super Bowl appearance Sunday against the Indianapolis Colts.
A sports car worth nearly $2 million, an 87-foot yacht and a guitar collection worth as much as $20,000 were among the assets seized from a South Florida lawyer suspected of operating a massive fraud scheme, according to a court filing Monday.
Why Dan Charles, executive vice president and managing director of Janus Capital Inc.'s U.S. institutional business and head of Janus Capital Group International, has departed remains unclear
Benjamin F. Edwards & Co. has hired former hockey star Blake Dunlop to run its newly opened St. Louis branch.
Recent studies have shown clients are considering moving assets or changing advisors. This month, we've been focused on rejuvenating your office and practice without breaking the bank
Benjamin “Tad” Edwards IV, the great-great-grandson of Albert Gallatin “A.G.” Edwards, took another step toward expanding his own brokerage business with the launch of a branch in White Plains, N.Y. — one that will house a number of former A.G. Edwards Inc. advisers and employees.
The Financial Planning Association is expected today to unveil a major research study on customer relationship management. ActiFi Inc., a financial services technology consulting firm, partnered with FPA in completing the 85 page comparative analysis of CRM packages available to the advisory market.
