Wealth Management Daily Memo

SEPTEMBER 17, 2019

INDUSTRY

Raymond James Settles with SEC for $15 Million for Overcharging Clients

Erick Bergquist

The regulator alleges that the firm improperly charged advisory fees on retail accounts that had been inactive at least a year and charged excess commissions on brokerage client investments in unit investment trusts.

Advertisement

INDUSTRY

Oak Hill to Take Equity Stake in Mercer Advisors

Diana Britton

Current private equity owner Genstar will still own a stake in the RIA firm.

SPONSORED CONTENT

ESG Risks Affecting Municipal Credit Quality

Sponsored by Gurtin Municipal Bond Management, a PIMCO company

Read about the several evolving ESG credit risks that can materially impact an obligor's credit profile.

WEALTHCASTS

Michael Kitces' #FASuccess Podcast: How to Bring Structure to Relationship Building with Matt Oechsli

Michael Kitces

Matt Oechsli details how clients can bring better structure to their relationship-building efforts with clients.

SPONSORED CONTENT

Are You Ready to Grow Strategically Through Acquisitions?

Sponsored by Cetera

While there’s no silver bullet for growing your business, acquisitions come close.

DOWNLOAD WHITE PAPER