Morning Memo
View Online
Wealth Management Morning Memo

JULY 17, 2019

REGULATION AND COMPLIANCE

Nick Schorsch, AR Capital to Pay SEC $60 Million for Fraud

WealthManagement.com Staff

The SEC charged AR Capital, its founder Nick Schorsch and CFO Brian Block with fraudulently profiting off of REIT mergers.

FULL ARTICLE

Advertisement

INSURANCE

Stronger Focus Needed on Underwriting in Insurance Planning

Bill Boersma

Pay attention to where it counts.

FULL ARTICLE

SPONSORED CONTENT

Aging. Uber. Perfect Together.

Sponsored by Hartford Funds

New academic research shows how technology will change aging.

LEARN MORE

ETFS

Regulators Are Asking the Wrong Questions About ETFs

Aaron Brown

It’s more likely that the highly liquid nature of these funds may prevent a crisis rather than cause one.

FULL ARTICLE

WealthManagement Digital Edition

Building an Independent Firm with the End in Mind: Key Attributes of an Independent Business with "Real Franchise Value"

READ NOW

The Daily Brief

INDUSTRY

SEC Charges Unregistered Broker for Selling Woodbridge Securities

Patrick Donachie

Not only was Henry J. Wieniewitz not registered, he made millions selling securities from Woodbridge Group and 1 Global, which the SEC claims are fraudulent.

FULL ARTICLE

INDUSTRY

Texas Advisors with $125 Million in Assets Join LPL

Patrick Donachie

Patrick Foy and Chris Willis will join LPL Financial from Raymond James Financial Services, citing the firm's platform and resources that can help streamline client services

FULL ARTICLE
READ MORE OF THE DAILY BRIEF