Morning Memo
 
Wealth Management Morning Memo

JANUARY 3, 2024

REGULATION AND COMPLIANCE

LPL Settles With FINRA For $6M Over Reg BI Lapses

The firm agreed to settle charges with the regulator after it charged LPL Financial supervisors failed to ensure the suitability of certain transactions made by reps on behalf of clients.

FULL ARTICLE

INDUSTRY

Hybrid IBD CoastalOne Rebrands to Realta

The rebrand comes as the $3.3 billion AUM firm aims to broaden its appeal to a wider swath of advisors and increase recruiting.

FULL ARTICLE

WHITE PAPER

How to Create a Robust Succession Plan for Your Firm

Pass the torch with confidence.

LEARN MORE

RIA NEWS

Dakota Acquires $350M Massachusetts RIA

The deal with C2C Wealth Management represents Dakota’s fourth transaction since June 1, and third office in Massachusetts.  

FULL ARTICLE

RETIREMENT PLANNING

How to Make the Most of Retirement Savings in 2024

Seven ideas for how to save smarter, from automation to rollovers and Roths.

FULL ARTICLE

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