Advisory firms grew 5.7% last year, according to a new study by The Ensemble Practice. It’s a wakeup call for firms to make marketing a vital function.
According to the settlement letter, the brokerage regulator argued Raymond James didn’t properly check that personnel were filling out forms to ensure that written customer complaints were submitted to FINRA quarterly.
The firm relied on “third-party automated surveillances” to check for potentially manipulative wash and prearranged trading which had overly narrow parameters, according to FINRA.
Gordon “Gordy” Abel from Dynasty Financial Partners offers perspectives on why marketing matters, how to create and leverage a brand, the key aspects of an effective value proposition and more.
Silvant Capital Management's CIO and Managing Partner Michael Sansoterra opens up about why he believes growth investing is a condition, not a category.
Two investors filed suits this week against the brokerage, claiming the Raymond James Bank Deposit Program benefitted the company at the expense of customers.
