Morning Memo
Wealth Management Morning Memo

NOVEMBER 20, 2020

REGULATION AND COMPLIANCE

Brokers Claim Virtual FINRA Arbitration Unfair

A handful of cases from brokers argue COVID-19 mandated virtual hearings in arbitration cases violate their rights to a fair defense.

FULL ARTICLE

TECHNOLOGY

Fintech: The Next Generation

Integrations are dead. Make room for the “all-in-one solution.”

FULL ARTICLE

SPONSORED CONTENT

Looking Ahead: Investment Strategies Playbook

Which investment strategies are primed to succeed in the coming year as advisors and investors set their sights on a new course in 2021?

DOWNLOAD NOW

ETFS

Oil, Energy ETFs Post the Worst Three-Year Returns

The past three years have not been kind to funds focused on the oil and energy sectors.

FULL ARTICLE

WEALTHIES CIRCLE PODCAST

Helping Advisors Make A Move to Independence with Goldman Sachs Private Bank

Goldman Sachs Private Bank's Gary Basso discusses the firm’s tech and digital banking strategy for independent advisors and clients.

LISTEN

SPONSORED CONTENT

Three Secrets of Successful Firms Revealed

What does preparation look like? Highly successful firms exhibit three distinct commonalities in their approach to their work and their technology.

LEARN MORE

Wealthies Circle Spotlight

RIA Client Onboarding Made Easy

Because it shouldn’t take more than minutes to submit a brokerage account application.

LEARN MORE

VISIT THE WEALTHIES CIRCLE

The Daily Brief

REGULATION AND COMPLIANCE

Conn. Advisor Sentenced to 42 Months in Jail for Ponzi Scheme

James T. Booth pleaded guilty to securities fraud last year for defrauding clients of nearly $5 million in investments, according to the Department of Justice.

FULL ARTICLE

INDUSTRY

Advisor Group Recruits Veater Financial From LPL

The $503 million in AUM firm joins Advisor Group through SagePoint Financial.

FULL ARTICLE

SPONSORED WEBINAR

How Advisory Firms Can Thrive During Difficult Conditions

What's the biggest driver of success during these uncertain times? In this webinar on December 2nd, you'll learn how to leverage technology to deliver better digital client experiences, streamline and scale your operations, and build an efficient and agile firm.

REGISTER NOW

READ MORE OF THE DAILY BRIEF