WealthManagement.com Daily Memo
 
Wealth Management Morning Memo

APRIL 29, 2024

INDUSTRY

$860M Texas Team Leaves Lincoln for LPL as Osaic Acquisition Nears Closing

Advisor Ryan Rayburn decided to look for a new broker/dealer when Osaic announced its acquisition of Lincoln.

FULL ARTICLE

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REGULATION AND COMPLIANCE

FINRA Fines TD Ameritrade $600K for Missing 'Red Flags' in Options Trading Applications

The brokerage regulator argued the firm’s automated process for approving options traders on its self-directed platform missed instances where clients submitted applications with conflicting information.

FULL ARTICLE

WEBINAR

Ask The Experts: The Corporate Transparency Act

Join our webinar on May 7th, as experts give an overview of the new corporate transparency act, and what next steps are required to take as the panel answers your pre-submitted questions.

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CELEBRITY ESTATES PODCAST

Steve Lockshin on Len Bias and NIL Deals in Estate Planning

Vanilla co-founder Steve Lockshin details the nuances surrounding NIL deals and the foundational estate planning strategies every individual, regardless of fame, should consider.

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RPA

Societal Shifts, Technology Forcing Changes to 401(k) Industry

And accelerating record keeper and advisor consolidation.

FULL ARTICLE