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February 5, 2019

Signs Point to "Tsunami" of Lawsuits Imminent for Financial Advisors
A continued market downturn means investors will search for returns in the courtroom.
Voya Webpage Blunder Puts Advisor Social Security Numbers at Risk of Exposure
But company tells media there’s no evidence the glitch was exploited.
Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019
ETF investments are increasingly being used in client portfolios, and experts say their growth may continue for the foreseeable future.
Are You Using AI for Surveillance? Because Finra Is
Some larger broker-dealers such as E-trade are still a few years away from releasing actual programs, and many smaller practices with fewer resources are just starting.
Becoming a Thought Leader Helps Your Firm Stand Out from the Crowd
But half-measures when it comes to thought leadership will no longer work in an increasingly competitive field.