Q: My independent firm told me that I am responsible for reporting “complaints” I get from my clients to the firm's compliance officer. Not surprisingly, since Labor Day, I've had more clients ...

This is the 18th installment in a Financial Planning series by Chief Correspondent Tobias Salinger on how to build a successful RIA. See the previous stories here, or find them by following Salinger ...

Editor’s Note: This article originally appeared on YourSource News (YSN), the official blog of BrandSource parent AVB Inc, and is reprinted with permission from the authors. Let’s face it: Every ...

When clients engaging with a new agency share concerns they had about their former agency partners, it is important for their new account team to take note of this invaluable input. A new client may ...

While representing two of his criminal defendant clients, the attorney was administratively suspended from the practice of law but failed to notify his clients, the State Bar of Texas report said. A ...

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Raymond James will pay over $1.9 million to settle FINRA allegations that it failed to properly report written customer complaints to regulators for years. Regulations require firms like Raymond James ...

Add Yahoo as a preferred source to see more of our stories on Google. Tired shoppers checking out at Walmart - Joe ...

Most business owners dread customer complaints. But what if every angry email could make you money? What if your refund requests held the key to your next successful product? What if negative reviews ...