Legal http://wealthmanagement.com/taxonomy/term/23641/more en Buyer Beware: WhatsApp Used in Recent Scam http://wealthmanagement.com/blog/buyer-beware-whatsapp-used-recent-scam <div class="node-body blog-body">Regulator warns stock recommendations sent through the popular WhatsApp messaging app are likely part of a recent pump-and-dump scam. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/buyer-beware-whatsapp-used-recent-scam" target="_blank">read more</a></p> http://wealthmanagement.com/blog/buyer-beware-whatsapp-used-recent-scam#comments Legal Blogs Rulebook Wed, 02 Sep 2015 19:39:00 +0000 982301 at http://wealthmanagement.com <p>Photo Illustration by&nbsp;Justin Sullivan/Getty Images.</p> Taberna Capital Pays $21.5 Million to Settle SEC Charges http://wealthmanagement.com/legal/taberna-capital-pays-215-million-settle-sec-charges <div class="node-body article-body"><p>A Philadelphia investment advisory firm has agreed to pay $21.5 million to settle U.S. Securities and Exchange Commission civil charges that it fraudulently retained fees belonging to collateralized debt obligation clients.</p> </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/legal/taberna-capital-pays-215-million-settle-sec-charges" target="_blank">read more</a></p> http://wealthmanagement.com/legal/taberna-capital-pays-215-million-settle-sec-charges#comments Legal Wed, 02 Sep 2015 19:02:00 +0000 982281 at http://wealthmanagement.com Robo Reliance http://wealthmanagement.com/blog/robo-reliance <div class="node-body blog-body">In a recent survey of 134 independent financial advisors, 60 percent said they would trust a so-called robo-advisor to help manage and oversee client assets.</div> <div class="field-content-focus"> <span>Content Classification:&nbsp;</span> Curated </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/daily-brief">The Daily Brief</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/robo-reliance" target="_blank">read more</a></p> http://wealthmanagement.com/blog/robo-reliance#comments Industry Legal Technology Blogs Client Relations The Daily Brief Wed, 02 Sep 2015 09:00:00 +0000 981391 at http://wealthmanagement.com Creative Investments http://wealthmanagement.com/blog/creative-investments <div class="node-body blog-body">Before you tell clients to toss their father’s watch or their grandfather’s decoy duck collection, advisors should double check that collection isn’t a valuable investment. </div> <div class="field-content-focus"> <span>Content Classification:&nbsp;</span> Curated </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/daily-brief">The Daily Brief</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/creative-investments" target="_blank">read more</a></p> http://wealthmanagement.com/blog/creative-investments#comments Legal Technology Blogs Valuations Careers The Daily Brief Mon, 31 Aug 2015 09:00:00 +0000 979231 at http://wealthmanagement.com Feel Like a Woman http://wealthmanagement.com/blog/feel-woman <div class="node-body blog-body">An online investment platform focused specifically on women launched on Thursday.</div> <div class="field-content-focus"> <span>Content Classification:&nbsp;</span> Curated </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/daily-brief">The Daily Brief</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/feel-woman" target="_blank">read more</a></p> http://wealthmanagement.com/blog/feel-woman#comments Legal Markets Technology Blogs ETFs The Daily Brief Fri, 28 Aug 2015 09:00:00 +0000 978201 at http://wealthmanagement.com No Standing to Enforce a Charitable Trust http://wealthmanagement.com/estate-planning/no-standing-enforce-charitable-trust <div class="node-body article-body">A recent New York appellate court decision – the latest in the tumultuous saga of Gardiner’s Island in the town of East Hampton, N.Y. – provides a nice opportunity to re-visit the rules regarding who has standing to enforce a charitable trust.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/estate-planning/no-standing-enforce-charitable-trust" target="_blank">read more</a></p> http://wealthmanagement.com/estate-planning/no-standing-enforce-charitable-trust#comments Legal Estate Planning Philanthropy Public Tue, 25 Aug 2015 15:45:00 +0000 975191 at http://wealthmanagement.com <p>Sagitkos Manor</p> No Safety in Gold http://wealthmanagement.com/blog/no-safety-gold <div class="node-body blog-body">It's an old-wives tale at this point: When the markets are bad, buy gold. Not so fast, according to data analytics platform Kensho. </div> <div class="field-content-focus"> <span>Content Classification:&nbsp;</span> Curated </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/daily-brief">The Daily Brief</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/no-safety-gold" target="_blank">read more</a></p> http://wealthmanagement.com/blog/no-safety-gold#comments Legal Markets Blogs Strategies Client Relations Retirement Planning The Daily Brief Tue, 25 Aug 2015 09:00:00 +0000 974231 at http://wealthmanagement.com FINRA Fines Schwab $2 Million for Capital Deficiencies http://wealthmanagement.com/legal/finra-fines-schwab-2-million-capital-deficiencies <div class="node-body article-body">The Financial Industry Regulatory Authority levied a $2 million fine on Charles Schwab & Co. for failing to maintain sufficient levels of capital during at least three occasions last summer.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/legal/finra-fines-schwab-2-million-capital-deficiencies" target="_blank">read more</a></p> http://wealthmanagement.com/legal/finra-fines-schwab-2-million-capital-deficiencies#comments Legal RIAs Regulation & Compliance Mon, 24 Aug 2015 15:15:00 +0000 973931 at http://wealthmanagement.com Copyright Justin Sullivan/Getty Images Clinton Polling Poorly With Dead Voters http://wealthmanagement.com/blog/clinton-polling-poorly-dead-voters <div class="node-body blog-body">A New Jersey woman used her obituary to make a final political statement to prospective mourners—don’t vote for Hillary Clinton. </div> <div class="field-content-focus"> <span>Content Classification:&nbsp;</span> Curated </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/daily-brief">The Daily Brief</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/clinton-polling-poorly-dead-voters" target="_blank">read more</a></p> http://wealthmanagement.com/blog/clinton-polling-poorly-dead-voters#comments Legal People Blogs Client Relations Retirement Planning The Daily Brief Fri, 21 Aug 2015 09:00:00 +0000 972251 at http://wealthmanagement.com CFPB, NY Securities Regulator Sue Companies Over Pension Advance Scheme http://wealthmanagement.com/legal/cfpb-ny-securities-regulator-sue-companies-over-pension-advance-scheme <div class="node-body article-body"><p>Regulators teamed up on Thursday to sue two pension companies and three individual managers for allegedly misleading consumers about the costs and risks associated with taking advanced loans on their pensions.</p> </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/legal/cfpb-ny-securities-regulator-sue-companies-over-pension-advance-scheme" target="_blank">read more</a></p> http://wealthmanagement.com/legal/cfpb-ny-securities-regulator-sue-companies-over-pension-advance-scheme#comments Industry Legal Retirement Planning Thu, 20 Aug 2015 16:44:00 +0000 972141 at http://wealthmanagement.com Copyright Christopher Furlong/Getty Images