Practice

Odd lots Fallback Image Decorative pattern

Planning and Advice

Odd lots

Online investment information used to be considered the domain of pennystock hustlers, boiler-room hacks and other assorted ne’er-do-wells. They walked the thinnest of lines separating honest appraisal of a rising stock from self-regarding hype for the benefit of insiders. Indeed, during the Internet bust, the U.S. Securities and Exchange Commission prosecuted a teenager for a […]

By Scot Blythe |April 1, 2009

3 min read

Legally speaking: Avoiding liability in uncertain times (Part 2) Fallback Image Decorative pattern

Planning and Advice

Legally speaking: Avoiding liability in uncertain times (Part 2)

Part 2: Letters of engagement and your “get out of liability free” card. This three-part series, advice that reflects lessons learned during past economic downturns, is written to help advisors avoid risk during these turbulent times. Professional financial advisors and planners beware. Clients look to you for advice and rely upon what you recommend. While […]

By Harold Geller |March 31, 2009

5 min read

Fallout (and marketing) advice for advisors Fallback Image Decorative pattern

Planning and Advice

Fallout (and marketing) advice for advisors

The RSP season has ended and much of the rush has subsided. Looking at March and beyond, it is time to start deciding what’s next. There is no doubt the past six months have been difficult. Gyrating markets and client worry take an emotional toll. With a client base leaning on you for direction and […]

By Shawn O'Brien |March 25, 2009

4 min read

Legally speaking: Avoiding liability in uncertain times (Part 1) Fallback Image Decorative pattern

Planning and Advice

Legally speaking: Avoiding liability in uncertain times (Part 1)

Part 1: Second opinion seekers. This three-part series, advice that reflects lessons learned during past economic downturns, is written to help advisors avoid risk during these turbulent times. Jim Bullock of the Peel Institute for Applied Finance is a well-known industry expert. He says complaints and lawsuits are inevitable because every human needs three things: […]

By Harold Geller |March 24, 2009

6 min read