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PRACTICE MANAGEMENT FEB 05, 2010
Going the extra mile

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.

PRACTICE MANAGEMENT FEB 04, 2010
Mind maps: The 'Swiss Army knife of cognition'

Instead of handing out charts and graphs to clients to explain their financial plans, adviser Gary Klaben provides “mind maps.”

FINTECH FEB 03, 2010
Advisers rate top technology concerns

Simplifying and better integrating compliance tasks, improving customer relationship management and developing more-robust portfolio management tools are the top technology concerns among financial advisers affiliated with independent broker-dealers, according to an online survey conducted by <i>InvestmentNews</i> this month.

PRACTICE MANAGEMENT FEB 03, 2010
NYC Ponzi flourished as Madoff imploded: SEC

Just 11 days after Bernard Madoff was arrested last year, federal regulators say an enterprising Queens gentleman started a Ponzi scheme of his own.

FINTECH FEB 03, 2010
Smart phones: It's all in the apps

As a follow-up to last week's smart-phone story, we decided to look at advisers' favorite mobile applications.

FINTECH FEB 03, 2010
Redtail teams with Pyxis Mobile to provide mobile access to its CRM

Redtail Technology Inc., a popular provider of client relationship management technology to financial advisers, has teamed up with Pyxis Mobile Inc., a wireless-applications provider, to build the next generation of mobile connectivity to Redtail's CRM system.

New ideas to spice up client events and seminars
PRACTICE MANAGEMENT FEB 01, 2010
New ideas to spice up client events and seminars

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.

Reaching out to Haiti
OPINION FEB 01, 2010
Reaching out to Haiti

Over the weekend, my daughter asked me what our family was going to do to help Haiti.

OPINION FEB 01, 2010
Develop a checklist for client communications

We are a few weeks into 2010 and you may be wondering what you can do to rejuvenate your practice and spice things up

PRACTICE MANAGEMENT FEB 01, 2010
Freshen up your office and give your practice a boost

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.

PRACTICE MANAGEMENT FEB 01, 2010
Oppenheimer reaches agreement with Illinois over 529 fund losses

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 &#8212; slightly more than half of what they lost in investments handled by Oppenheimer Funds Inc.

RIAS JAN 31, 2010
OpINion online

Deputy editor Evan Cooper on advisers, brokers, and TV. (Yes, TV)

PRACTICE MANAGEMENT JAN 29, 2010
Rejected: Carmelo Anthony's lawsuit against adviser shot down by judge

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.

PRACTICE MANAGEMENT JAN 28, 2010
SEC charges former California RIA with bilking college student, family friend

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.

PRACTICE MANAGEMENT JAN 28, 2010
Pre-Super Bowl festivities under way for advisers in New Orleans, Indianapolis

For the first time in Villere &amp; 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.

FINTECH JAN 27, 2010
TechCheck: XBRL made easy, DNS highjack made harder; plus other product news

FINTECH JAN 27, 2010
Apple iPad revealed; Advent software announces latest version of Axys

Apple Inc. today unveiled its long-rumored tablet, the iPad. Chief executive Steve Jobs, addressing a packed crowd of technology journalists and bloggers. referred to the device as something in the &#8220;middle&#8221; &#8212; residing in a &#8220;third category,&#8221; between high-powered personal computers and smart phones.

FINTECH JAN 27, 2010
Finra unveils guidelines for social media and blogging

For months, a task force for the Financial Industry Regulatory Authority Inc. has been reviewing some of the major issues surrounding the professional use of social media in the financial services community &#8211; and now the self-regulatory organization has finally issued an overview of their guidelines.

PRACTICE MANAGEMENT JAN 27, 2010
Car seized from suspected lawyer worth $2M

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.

FINTECH JAN 27, 2010
Advisers, make your voices heard on Finra regulation of social media

Advisers have the opportunity, until Nov. 20, to make their voices heard on the Financial Industry Regulatory Authority Inc.'s broad proposal to change how it regulates financial advisory firms' communications with the public &#8212; a proposal that could address advisers' use of social media.