MARCH 13, 2025

REGULATION & COMPLIANCE

Stifel Plans Court Appeal After $133M FINRA Arbitration Award

The arbitration award concerned a Stifel broker’s “investments in structured notes,” while the firm argued the clients were “sophisticated” and understood the risks.

INDUSTRY NEWS

Edward Jones Laying Off Home Office Workers Amid Restructuring

The broker/dealer is embarking on a multi-year effort to restructure its home office to boost collaboration and client focus, with layoffs to come on the administrative side of the business.

WEBINAR

Smart Tax Deferral Strategy: A 1031 Exchange Guide for Clients Selling Investment Properties

Sponsored by Hamilton Zanze Real Estate Investments

Join us on March 20th as an expert panel walks through the scenarios investment property owners face, why they choose to transition from hands-on property management, the 1031 exchange process, and the tax-saving opportunities available through a 1031 exchange.

WEALTHTECH

AI-Powered Prospecting Tool FINNY Now Backed By Josh Brown

In addition to the celebrity endorsement and undisclosed investment, The Reformed Broker has joined the startup's board.

COMMENTARY

Aren’t All Wealth Management Firms and Models the Same?

Without the benefit of exploration, it’s easy to fall into the mind trap that says, “It’s all the same no matter where you go.”

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