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In an interview with WealthManagement.com, Dan Moisand stressed the need for updated guidelines and also said the Board hopes to provide more detail on the reasoning behind punishments.
We asked dozens of advisors to share the creative questions they have found to be most successful in turning inquiries into insights and conversations into relationships.
New research from WealthManagement.com's WMIQ suggests firms are inhibiting growth by minimizing, and in many cases mishandling, marketing and client communications.
Flagstaff, Ariz.–based John Lopez promised clients his 'algorithm' guaranteed 10% returns; he faces 20 years in prison for allegedly deceiving clients of his non-registered business, Personal Money Management Company.
