Wealth Management Daily Memo

FEBRUARY 3, 2022

REGULATION AND COMPLIANCE

Georgia Court Vacates FINRA Award, Decrying 'Secret Agreement' with Wells Fargo

Patrick Donachie

The Superior Court in Fulton County, Ga. overturned a decision by FINRA after plaintiffs argued the firm’s counsel unfairly manipulated a list of arbitrators.

INSIDE ETFS PODCAST

The Future Of Finance and ETFs with Grayscale’s David LaValle

Douglas Yones

Davie LaValle reveals why Grayscale, the world’s largest asset manager of digital assets, entered the ETF market.

SPONSORED CONTENT

Protecting a Client’s Portfolio from Inflation

Sponsored by Morningstar

To achieve any meaningful progress toward financial goals, investors need to clear the inflation hurdle.

EQUITIES

Why ESG Managers Missed the Activision 'Blizzard' And What Lessons We Can Learn From It

Kuni Chen

Activision scored favorably across ESG factors, but even the best analyst couldn’t fully know what was happening behind the scenes at the gaming company, which faces allegations of gender discrimination and sexual harassment.

CLIENT RELATIONS

Four Factors for Advisors to Consider in 2022

Mike Watson

Change is inevitable, and how you respond to it will determine your level of success going forward.

SPONSORED WEBINAR

Discover the Power to Transform Through Active Ownership

Sponsored by Magnifi by TIFIN

Join our panel of experts on Tuesday, Feb. 8th for an interactive discussion about how financial advisors can help clients drive impact on climate change and DEI with their portfolios.