WealthManagement.com Daily Memo
 
Wealth Management Morning Memo

FEBRUARY 16, 2024

ETFS

VanEck to Pay $1.75M to Settle SEC Charges Related to ETF Promoted by Dave Portnoy

The SEC claims VanEck failed to disclose the involvement of a social media influencer in promoting the BUZZ ETF.

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RIA NEWS

Former Northwestern Mutual Advisor Launches Indie RIA

David Eisenhauer and his team managed $450 million in assets for around 150 clients on the broker/dealer platform.

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REGULATION AND COMPLIANCE

TIAA-CREF Settles SEC Charges Over Reg BI Violations for $2.2M

TIAA IRA customers paid more than $900,000 in combined expenses that could have been avoided by investing through a “brokerage window” with lower-cost share classes, according to the regulator.  

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WEALTHSTACK ROUNDUP

Datalign's Impressive Numbers

Our often grumpy technology columnist filters through the noise of tech announcements this week, singling out a few, and asks for reader input.

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WEBINAR

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