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    Articles

    Sales & Marketing

    Client Service? Do You Really Deliver?

    By: Harry J. Lew, NEA Chief Content Officer on November 16th, 2016 • Comments: 0

    Welcome to to the brave new world of client service (AKA, customer experience), where every interaction with a prospect or client holds great potential for either unalloyed success or tarnished failure.

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    Business Ethics

    Advisor Alert: State Securities Regulators Ramp Up Enforcement Actions

    By: Harry J. Lew, NEA Chief Content Officer on November 16th, 2016 • Comments: 0

    Financial advisors often adopt an “it won’t happen to me” posture when it comes to getting caught violating state (or federal) regulations. However, a new report from the North American Securities Administrators Association (NASAA) highlights the fallacy behind that thinking.

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