Wealth Management
 
WealthManagment.com Daily Memo
Wealth Management Daily Memo

AUGUST 09, 2024

REGULATION AND COMPLIANCE

Raymond James Nears SEC Settlement for Off-Channel Communications

According to the firm’s two recent quarterly filings, Raymond James has reached “a settlement in principle” with the commission’s Enforcement Division, including a $50 million fine.

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REGULATION AND COMPLIANCE

$3.7B RIA Pays $430K To Settle SEC Ad Rule Charges

The Pacific Financial Group highlighted hypothetical performance in ads in a way that violated the commission’s marketing rule, according to a settlement order released Friday.

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WMIQ RESEARCH REPORT
Exploring the Dynamics of Financial Service Partnerships
Better advisor relationships depend on strong service, technology support and a collaborative culture.
RIA NEWS

Former United Capital Advisor Joins Ashton Thomas

Cary Carbonaro joins Ashton Thomas as a managing wealth advisor and Women and Wealth Ambassador for the firm.

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BUSINESS PLANNING

Three Ways Advisors Can Use the ‘Summer Slowdown’ to Get Ahead

The summer months provide the opportunity to strategically recharge, absorb and plan for the remainder of the year.

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