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 ...

When a company seeks out a new agency, it’s often because something essential is missing from their current partnership. Whether due to communication issues, a lack of strategic thinking or broken ...

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 ...

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 ...

Last week, a major UK supermarket fell foul of a customer complaint and was forced to take a Christmas card off its shelves. The offending item had the line “This Christmas I’m identifying as a Grinch ...

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 ...