Up to 30 percent of monetary awards to investors in arbitration claims go unpaid, the self-regulator said. “It’s crystal clear this is and remains a huge problem for FINRA and therefore for investors,” says PIABA President Andrew Stoltmann.

Start by getting a feel for how much, and what type of information a prospect prefers.

SEC examiners will pay closer attention to the fees that retail investors are paying to advisors as well as the disclosure and calculation of those fees.

Separate the folks you’d like to have as clients from the ones who truly are prospects.

After the Dow Jones Industrial Average and the S&P 500 fell more than 4 percent in one trading session, many advisors said they were expecting a market correction and had prepared clients for it.

FINRA rules protecting seniors go into effect, banks ban buying bitcoin with credit cards and advisors to keep shifting money abroad despite geopolitical risk.

Making an upfront investment into the new relationship can reap a great return down the line.