Practice Management

See the practice management strategies that wealth management professionals are using to help their clients.
For more practice management tips to help your business, check out our free weekly e-newsletter. Join today.

Highlights

SEC Charges Pennsylvania Advisor Who Used Client Funds on Country Club Dues

Jan 17, 2025

Scott J. Mason of Rubicon Wealth Management defrauded at least 13 advisory clients out of more than $20 million, spending it on country...

Vanguard to Pay $106M Over Retirement Fund Violations

Jan 17, 2025

The SEC claims Vanguard made misleading statements about capital gains distributions and tax consequences to...

Wells Fargo, Merrill Lynch Pay $60M to Settle Cash Sweep Charges

Jan 17, 2025

The yield differential between the firms' bank deposit sweep programs and other alternatives was nearly 4%...

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LPL Financial Hit with Anti-Money Laundering Violations

Jan 17, 2025

The independent broker/dealer has agreed to pay a $18 million penalty and improve its procedures.

New Year, New Advisors

Jan 16, 2025

What I learned from training eight new advisors simultaneously.

What Families Can Do When Facing College Admission Disappointment

Jan 16, 2025

In cases of rejection, it’s important to focus on what students and their parents can control—making the right decisions going forward.

The Diamond Podcast for Financial Advisors: $6B+ Former UBS Team Finds Freedom to Focus on Clients

Jan 16, 2025

Tony Smith of Stonegate Investment Group discusses transitioning from UBS after 14 years and $4.4 billion in AUM to independence and building the business to $6 billion, including the motivations to make a change at this stage of his career and...

Four Reasons to Stay at Your Firm

Jan 15, 2025

Think critically about why you should decide to stay put.

Schwab, Blackstone Among Firms Paying $63M To Settle SEC Texting Charges

Jan 13, 2025

The regulator found firm employees were using unapproved texting apps for business and failing to archive the communications...

Robinhood to Pay $45M to Settle SEC Claims

Jan 13, 2025

Two Robinhood entities “failed to observe a broad array of significant regulatory requirements,” according to the SEC.

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Practice Management

See the practice management strategies that wealth management professionals are using to help their clients. For more practice management tips to help your business, check out our free weekly e-newsletter. Join today.

See the practice management strategies that wealth management professionals are using to help their clients.
For more practice management tips to help your business, check out our free weekly e-newsletter. Join today.