WealthManagment.com Daily Memo
Wealth Management Daily Memo

FEBRUARY 8, 2018

REGULATION AND COMPLIANCE

FINRA: Clients May Win Arbitration, But Many Firms Fail to Pay

Up to 30 percent of monetary awards to investors in arbitration claims go unpaid, the self-regulator said. "It's crystal clear this is and remains a huge problem for FINRA and therefore for investors," says PIABA President Andrew Stoltmann.

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HIGH NET WORTH

Helping Clients Who Are Drawn to Equity Crowdfunding

Just because an investment comes from the heart doesn't mean it can't be smart as well.

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SPONSORED CONTENT

Advisor Insights: Top Five Transition Tips

Learn from advisors who have transitioned their own business.

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TECHNOLOGY

Live From T3: Prepping For a Long Life

Despite choppy markets, optimism was rampant at the tech conference as advisors got a glimpse of the latest digital advances both inside and outside the industry.

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