WealthManagement.com Daily Memo
Wealth Management Daily Memo

JUNE 30, 2021

REGULATION AND COMPLIANCE

Robinhood to Pay FINRA-Record $70 Million Penalty Over Lapses

The FINRA penalty includes a $57 million fine and a demand that Robinhood pay about $12.6 million to wronged customers.

FULL ARTICLE

REGULATION AND COMPLIANCE

Former Minnesota Advisor Sentenced to 7 Years in Prison for $2.3M Fraud

Isaiah Goodman pleaded guilty to mail fraud in federal court, with the Department of Justice arguing he defrauded at least 23 clients out of millions.

FULL ARTICLE

SPONSORED CONTENT

Own Your Value

5 Strategies to Showcase Why Your Financial Guidance Matters

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PHILANTHROPY

Opinion: Attempts to Restrict DAFs May Impede Philanthropic Efforts

These vehicles are helpful to charities, donors and society.

FULL ARTICLE

TECHNOLOGY

Riskalyze Fintech Report Card: June 2021

Riskalyze CEO Aaron Klein provides his take on the biggest news to hit advisor technology in the previous month.  

FULL ARTICLE

SPONSORED CONTENT

Understanding the Real Cost of Commission-Free Trades

Most investors have no understanding of the fees they pay with trading platforms. Use this white paper as a guide to educate them.

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ADVISOR INNOVATIONS PODCAST

Sustainable Investing With Jeffery Gitterman

Gitterman Wealth Management co-founder Jeffrey Gitterman on how his firm focuses on sustainable investing, making sense of ESG data and where he sees opportunities for advisors to grow.

Sponsored by LPL Financial

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REAL ESTATE

10 Experts Sound Off on "Return-to-Office" Trends

A largely successful vaccination drive and work-from-home fatigue have changed expectations on corporations' "return-to-office" timeframes and strategies.

FULL ARTICLE

EXCLUSIVE RESEARCH

The Growing Role of Emerging Market Equities

Financial advisors are shifting their strategies around emerging markets equities to help clients better take advantage of the potential growth opportunities.

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