The Client

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  Schwab Backs Off on Class-Action Ban—for Now

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Charles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.

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  Is Your Client a Skittish Investor? Russell Offers Calming Tool

  By Joyce Hanson, AdvisorOne  |  May 16, 2013

  Advisors can struggle to help clients set realistic expectations for portfolio performance and avoid obsessing over day-to-day market movements.

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  Stop Denying Investor Rights: End Forced Abitration Now

  By Heath Abshure, NASAA President  |  May 16, 2013

  For too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.

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  Importance of Advisor’s ‘Bedside Manner’: Meir Statman—Video

  By John Sullivan, AdvisorOne  |  May 15, 2013

  At the IMCA conference in Seattle in early May, Meir Statman, the Santa Clara University professor of finance and behavioral economics, talks with Investment Advisor editor John Sullivan about advisors and client psychology.

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  3 Successful M&A Exit Strategies

  By John Sullivan, AdvisorOne  |  May 15, 2013

  If you have one buyer and one seller, you won’t get what you want, says one veteran dealmaker.

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  Financial Security Necessary to Be a Good Person: N.Y. Life Study

  By Danielle Andrus, AdvisorOne  |  May 10, 2013

  Members of Gen X and Gen Y are less satisfied with their financial situation than their parents, according to a New York Life study released Thursday.

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  Advisors Mulling a Move Should Check the Elephant in the Room

  By Gil Weinreich, AdvisorOne  |  May 10, 2013

  Conversations about career transitions tend to focus on the advantages of making a move while ignoring the risks of moving, Cetera says.

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  Advisors More Likely to Switch Firms With Family’s Approval

  By Gil Weinreich, AdvisorOne  |  May 9, 2013

  Memo to recruiters: A focus on the financial advantages of switching firms may ultimately be less effective than demonstrating how a move might improve the advisor’s work-life balance.

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  NASAA Joins FINRA in Fight Against Schwab Class-Action Ruling

  By Melanie Waddell, AdvisorOne  |  May 9, 2013

  State securities regulators are throwing their support behind FINRA in its battle to overturn a decision by its hearing panel that allowed Charles Schwab & Co. to block customer participation in class-action lawsuits.

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  Why Women Select, Retain or Reject an Advisor

  By John Sullivan, AdvisorOne  |  May 9, 2013

  The money I spent on a financial advisor was "the best investment I ever made," says one panelist.