by Patrick M. Kelly | Aug 31, 2012 | Compensation, Merril Lynch
Is the $40 million dollar settlement really a resolution? That’s the ‘scuttle’ this week on the block. Or is it opening a door to further claims and litigation? The settlement for deferred compensation will go to about 1, 467 financial advisors who were formerly...
by Patrick M. Kelly | Jul 25, 2012 | Financial Recruiting Industry
Rule 2111 expands broker-dealer suitability and “know your customer” obligations in three ways and it became effective on July 9. Is this just another bureaucratic initiative or does it really strive to provide uniformity and consistency to the old rule? And will it...
by Patrick M. Kelly | Jul 9, 2012 | Financial Advisor Directories
After the previous review of the emerging financial advisor directories, ranking and disclosure sites, confusion and indecision among advisors in the industry is to be expected. Should one take the bait and join some of the new services? Decisions will depend on...
by Patrick M. Kelly | Jul 6, 2012 | Advisor Profiles, Financial Advisor Directories
At AdviceIQ, financial advisors, whether from a wirehouse, IBD, RIA, bank brokerage or wherever, can only get listed in the directory if they have zero complaints on their records. Therefore, an investor cannot search for compliance issues about their advisors because...
by Patrick M. Kelly | May 15, 2012 | Financial Advisor Job Recruits, Financial Advisors, Hiring, Job Market
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