Wells Fargo Overcharged Clients $27 Million in Fees, SEC Alleges
Wells Fargo Overcharged Clients $27 Million in Fees, SEC Alleges
Aug 25, 2023
In June, Wells Fargo paid the affected accounts $39 million in reimbursed fees with interest.
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Mindy Diamond on Independence: A Bank Advisor’s Breakaway Success Story
Aug 24, 2023
Evan Mayer started in the bank channel and, over time, came to the realization that he could do more to support his clients and grow the business in the independent model.
For Advisors, Not All Growth is Created Equal
For Advisors, Not All Growth is Created Equal
Aug 24, 2023
Building a successful business means knowing how to manage growth in a healthy way.
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Your End-of-Year Roadmap: Staying Ahead in the Home Stretch
Aug 24, 2023
Don’t look now, but we’re already more than halfway through 2023. And the rest of the year will sail past in a heartbeat if you’re not careful.
Does Your Office Sharing Arrangement Put Client Confidentiality at Risk?
Does Your Office Sharing Arrangement Put Client Confidentiality at Risk?
Aug 22, 2023
Ethical considerations for this modern approach to working.
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RIA Edge Podcast: Lido’s Ken Stern on Navigating Growth and Culture in Wealth Management
Aug 22, 2023
This era in wealth management has seen unparalleled growth opportunity. Lido Advisors has embraced this golden age of shifting demographics and technological advancements to be one of the fastest growing and successful firms in the industry.
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SEC Settles First Charges Stemming From Updated Marketing Rule
Aug 21, 2023
New York-based fintech advisor Titan Global Capital Management will pay more than $1 million to settle charges it made misleading statements concerning hypothetical performance metrics for its crypto strategy.
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