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Financial Planning
May 1, 2006
Marianne Czernin |
Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps.   |
Financial Planning
February 1, 2011
Donald Jay Korn |
Heir Loss Beneficiary problems can cause even the best financial plans to go awry. |
Registered Rep.
June 1, 2006 |
Balancing Act? Q: I am a 17-year veteran with no compliance marks against me... I'm growing more concerned about making sure that I do what's in the best interest of my clients, which is not necessarily what's in the best interest of my firm... etc. |
Investment Advisor
August 2010
Thomas D. Giachetti |
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. |
Registered Rep.
July 1, 2004
Bill Singer |
When Silence Isn't Golden Reps may not inhibit customers or other parties from providing information, documents or testimony or from cooperating otherwise with a regulator in an investigation of alleged violations, even after a settlement. |
Investment Advisor
September 2007
Gavin Morrissey |
After the Estate Plan . . . Your job is just beginning after a client's estate plan is drawn up. As the client's financial advisor, it is up to you to ensure that the estate plan is implemented correctly. |
The Motley Fool
February 2, 2005
Dayana Yochim |
The Million-Dollar Clerical Error A misfiled beneficiary form robs a widower of his wife's final wishes, and her pension -- could it happen to you? |
Registered Rep.
September 1, 2005
John Churchill |
The Battle at Home In today's competitive environment, it doesn't take long for a soldier/rep's book to fall prey to poachers. |
The Motley Fool
December 13, 2010
Dayana Yochim |
Keep the Wrong Hands Off Your Money As long as you're filling out gift tags and place cards -- and before visiting family members start getting on your nerves -- it's a good time to check and see whether you've jotted down the right names on your beneficiary forms. |
Registered Rep.
September 1, 2004
Susan L. Hirshman |
Calling on Nonprofits Financial advisors who present themselves as fiduciary experts can help nonprofit organizations while simultaneously expanding their own businesses. |
Investment Advisor
January 2006
Olivia Mellan |
The Psychology of Advice: I Me Mine Problems can arise when you have financial advisory clients who insist on putting themselves first. Here's how to emotionally help these people broaden their perspective. |
Registered Rep.
May 1, 2004
Bill Singer |
It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments. |
The Motley Fool
January 16, 2004 |
The Power of Compound Interest Use time to turn a thousand bucks into tens of thousands of bucks. |
Registered Rep.
January 1, 2007
Bill Singer |
I Kid You Not NASD enforcement actions can flatten a registered rep's life savings and bury his career. That's no laughing matter. Still, there are some cases in which the circumstances are so zany that even the prickliest observer can't help but snigger. |
The Motley Fool
July 14, 2006
Elizabeth Brokamp |
Ask Mrs. Riches: Fiscal Family Feuds When money is involved, even close family ties can break. Get your financial relationship questions answered here! |
