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 ...

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 ...

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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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 ...

“Embrace customer complaints” is probably a cringe-worthy idea to some of you. The thought of negative feedback may trigger something inside of you that frankly, makes you want to crumble up all the ...

A Channel 2 Action News investigation finds a legal loophole some investment brokers are using to hide client complaints and even financial settlements from the public. “You weren’t chasing some big ...