Wealth Management
 
WealthManagment.com Daily Memo
Wealth Management Daily Memo

SEPTEMBER 18, 2024

PEOPLE

Job Candidate Sues Ameriprise Over Branch Manager's Alleged Sexual Advances

In a Florida state lawsuit, financial advisor Deborah Lennon claims she would only be hired on the condition she agreed to have sex with “the person responsible” for deciding whether Amerirprise would hire her.

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REGULATION & COMPLIANCE

SEC: Global Fraudsters Targeted Crypto Investors with 'Relationship Scams'

The commission alleged that the schemers behind the fraudulent crypto platform NanoBit Limited falsely claimed their affiliate was an SEC-registered broker.

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2024 MIDYEAR OUTLOOK
Securing the Future: The Critical Role of Succession Planning in Advisory Firms
Preparing the next generation of leaders is crucial for advisory firms to secure their legacy and ensure smooth succession.
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REGULATION & COMPLIANCE

Broker/Dealer First Horizon Hit with Reg BI Violation Over Structured Notes Recommendations

The SEC found that after a merger, First Horizon did not properly follow its Regulation Best Interest procedure when making structured note recommendations to some clients.

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401K TV

401(k) Real Talk Episode 122: September 18, 2024

Open, honest and candid discussion about One America's deal with Voya, Alera Retirement's growth, August job numbers, the Wealthies and more.

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WEBINAR
Ethereum in Focus: Building Future-Focused Investment Portfolios
Join us for an educational webinar where Grayscale's Global Head of ETFs, Dave LaValle, and Head of Research, Zach Pandl, answer top-of-mind questions from financial professionals on Ethereum
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FIXED INCOME

Fed Cuts Rates by Half Point in Decisive Bid to Defend Economy

The Federal Open Market Committee voted 11 to 1 to lower the federal funds rate to a range of 4.75% to 5%, after holding it for more than a year at its highest level in two decades.

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