WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

JANUARY 25, 2022

REGULATION AND COMPLIANCE

SEC, DOJ Both Charge Former UBS Rep With Stealing $5.8 Million

According to the commission’s complaint, Florida-based former advisor and broker German Nino made numerous unauthorized transfers, allegedly using the money to purchase gifts and to pay back a prior victim’s misappropriated funds.

FULL ARTICLE

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RETIREMENT PLANNING

DC Market Trends Worth Tracking

Cerulli's Shawn O’Brien discusses CITs, target date funds and more trends for retirement plan advisors to keep an eye on.

FULL ARTICLE

SPONSORED WEBINAR

Satisfying Clients’ Demands for Sustainable & ESG Investing

Join this webinar on Feb. 10th as we explore how technology provides reliable, high-quality data to demonstrate strong sustainability subject matter expertise and capabilities to clients.

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CELEBRITY ESTATES PODCAST

DMX and Planning For Blended Families

Rap Superstar DMX left behind 15 children and a potential common law wife when he passed without a will in April of 2021.

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EQUITIES

Valuation, History, Bursting Bubbles: In Search of the Floor

It's getting harder and harder to see the bottom.

FULL ARTICLE