Morning Memo
Wealth Management Morning Memo

DECEMBER 20, 2018

REGULATION AND COMPLIANCE

New York Clearing Firm Defeats Multi-Millionaire in FINRA Arbitration

The client won’t see a dime of the $40 million sought in the arbitration against C.L. King & Associates, which went on for 109 hearing sessions.

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TECHNOLOGY

For AdvicePeriod’s Larry Miles, Simplicity is a Business Strategy

The co-founder of investment advisory firm AdvicePeriod and author of It’s That Simple on how integrated services are the future of finance, why his firm will soon roll out a trust company, and the dangers of socializing with clients.

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PHILANTHROPY

Eleven Ways Charities and DAFs Can Work Together

Once considered threats, many non-profits are now actively courting grants from DAFs.

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The #1 Lie of Advisor Marketing Companies

Watch what you're being sold, it may not be what you think.

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The Daily Brief

INDUSTRY

SEC Charges 13 Related to $1.2 Billion Woodridge Ponzi Scheme

The individuals charged unlawfully sold more than $350 million of its unregistered securities to 4,400 investors.

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REGULATION AND COMPLIANCE

Metlife, Cape Cod Advisor Caught in Massachusetts' Crosshairs

The Bay State's securities regulator has been busy this week.

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