Wealth Management
 
WealthManagment.com Daily Memo
Wealth Management Daily Memo

AUGUST 29, 2024

REGULATORY

Merrill Pays $3M To Settle FINRA Claims Of Poor Trading Surveillance

The firm relied on “third-party automated surveillances” to check for potentially manipulative wash and prearranged trading which had overly narrow parameters, according to FINRA.

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REGULATORY

Raymond James Facing Two Lawsuits Over Cash Sweep Program

Two investors filed suits this week against the brokerage, claiming the Raymond James Bank Deposit Program benefitted the company at the expense of customers.

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MIDYEAR OUTLOOK
The Key to the Great Wealth Transfer
As the great wealth transfer looms, financial advisors face the challenge of dispelling misconceptions about their value and embracing technology to engage the next generation and retain assets across generations.
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BUSINESS PLANNING

How Fast-Growing RIAs Implement Ancillary Services

Think of these services as different specialties within a high-end restaurant.

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FASTCHAT VIDEO
Sports & Entertainment Program at Wells Fargo Advisors
Learn how to empower advisors to expertly navigate the unique financial needs of sports and entertainment professionals.
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PODCASTS

Adjusted for Risk: Growth Investing as a Condition, Rather Than a Category

Silvant Capital Management's CIO and Managing Partner Michael Sansoterra opens up about why he believes growth investing is a condition, not a category.

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