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Wealth Management Daily Memo

SEPTEMBER 7, 2022

REGULATION AND COMPLIANCE

FINRA Arbitrators Demand Oppenheimer & Co. Pay $35M+ Award

Patrick Donachie

The proceedings centered on investors harmed by Horizon Private Equity III, an alleged Ponzi scheme concocted by a former Oppenheimer advisor.

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ESTATE PLANNING

Anne Heche's Son Seeks Control of Her Estate

Anna Sulkin

The actress did not have a will, leaving a heavy burden on her 20-year old son Homer.

WHITE PAPER

The 2022 Advisor Volatility Toolkit

Sponsored by Riskalyze

Calm client worries. Download the ‘22 Advisor Volatility Toolkit.

401KTV

401(k) Real Talk Episode 32: September 7, 2022

Fred Barstein

Open, honest and candid discussions about the latest news in the RPA industry.

RIA NEWS

Mercer Advisors Acquires Jordan Financial Strategies

WealthManagement.com Staff

$120 million acquisition adds to Mercer’s home base in Denver.