Wealthmanagement Email Newsletter: Supreme Court Curbs SEC’s In-House Judges in Fraud Cases (June 27, 2024)


	JUNE 27, 2024

REGULATION AND COMPLIANCE


	Supreme Court Curbs SEC’s In-House Judges in Fraud Cases

Greg Stohr

The 6-3 decision deals a blow to an administrative system the SEC once used to adjudicate more than 100 cases a year before scaling back amid legal challenges.

FULL ARTICLE

INDUSTRY


	Mariner Sues Savvy For Poaching Advisors, $60M in Client Assets

Patrick Donachie

Mariner is suing three advisors who recently left to join Savvy Wealth's RIA affiliate. In the suit, Mariner argues Savvy poaches books of business without “regard to contractual obligations.”

FULL ARTICLE

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ADVISOR SENTIMENT INDEX


	Advisor Confidence in Stock Market Soars

WealthManagement.com Staff

According to the Advisor Sentiment Index, financial advisors are feeling better about the prospects of the stock market, even as their view of the overall economy dims slightly.

FULL ARTICLE

BUSINESS PLANNING


	An Investment in Women Is an Investment in the Future

Hannah Buschbom and Thomas Goodson

Enacting corporate strategies and initiatives that foster an environment where women professionals can succeed is not complex, but it must be intentional, actionable and measurable.

FULL ARTICLE

WMIQ RESEARCH REPORT


	Exploring the Dynamics of Financial Service Partnerships

In partnership with United Planners

Better advisor relationships depend on strong service, technology support and a collaborative culture.

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	Podcasts

FOCUSED ON THE FUTURE PODCAST

Shannon Eusey on Why Scale is Critical to Success in Wealth Management

Suzanne Siracuse


	Beacon Pointe's Shannon Eusey shares her top five trends in wealth management today. LISTEN NOW

DIAMOND PODCAST FOR FINANCIAL ADVISORS

How to Achieve Sustainable and Scalabe Growth

Louis Diamond


	Duncan MacPherson from Pareto Systems offers actionable advice for financial advisors looking to unlock greater value in all that they do to build their business. LISTEN NOW

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June 27, 2024 5:30pm
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Supreme Court Curbs SEC’s In-House Judges in Fraud Cases

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