WealthManagment.com Daily Memo
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| REGULATION AND COMPLIANCE | | | | | | Patrick Donachie | | State regulators claim Raymond James charged customers a a $75 minimum commission charge, regardless of the size of the transaction. FULL ARTICLE |
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| TECHNOLOGY | | | | Rob Burgess | | Advisors now have the ability to customize the firm’s model portfolios to reflect their or their clients’ personal preferences. FULL ARTICLE |
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| FASTCHAT VIDEO | | | | Sponsored by Parnassus Investments | | Listen in as Todd Ahlsten and David Armstrong discuss the economic outlook and possible market opportunities in an uncertain environment. WATCH NOW |
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| RIA EDGE PODCAST | | | | Mark Bruno | JC Abusaid provides a roadmap for other RIA firms to learn from and follow as they look to expand their talent base.
Sponsored by Schwab Advisor Services
LISTEN NOW |
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| REGULATION AND COMPLIANCE | | | | Paige Smith and Katherine Doherty | | Separately, Merrill Lynch was fined $6 million by the SEC for failing to file hundreds of Suspicious Activity Reports from 2009 to 2019. FULL ARTICLE |
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