WM Morning Memo
 
Wealth Management Daily Memo

SEPTEMBER 13, 2024

REGULATION & COMPLIANCE

Wells Fargo Fined $3M For Missing 'Unsuitable' Short-Term Trades

FINRA says multiple reps at the wirehouse recommended short-term buying and selling of securities meant to be held long term.

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INDUSTRY

LPL Adds Tech Consulting, CIO Services to Business Solutions

The IBD has launched a new tech consulting service, as well as other business solutions related to investment management and talent.

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SPONSORED CONTENT
Ways Top Financial Professionals Get Noticed

Sponsored by Athene

Research reveals 3 secrets to their success.
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PODCAST

The Diamond Podcast for Financial Advisors: An Advisor’s Guide to Thinking Through Their Biggest Decision

Jason Diamond and Mindy Diamond discuss her new book, Should I Stay or Should I Go?, created specifically for financial advisors who are looking to optimize their business.

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MARKETING

Establishing an Effective Digital Footprint

Before advisors can run, they have to crawl first.

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2024 MIDYEAR OUTLOOK
Mining for Success: Investing in Critical Minerals

Sponsored by Meketa Capital

As the world transitions to greener energy and advanced tech, critical minerals like lithium and cobalt are key to the future, offering significant investment potential amid supply chain challenges.
Learn More >

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