Wealthmanagement Email Newsletter: Weakened SEC Could Boost Settlements, State Regulators’ Roles (July 2, 2024)


	JULY 2, 2024


	Supreme Court Decision Weakening SEC Could Boost Settlements, State Regulators’ Roles

Patrick Donachie

Last week, the Court ruled that the commission’s use of in-house administrative law judges violated the Constitution’s guarantee of a jury trial in certain cases. That may change the landscape for financial advisors defending themselves against SEC charges and civil penalties.

FULL ARTICLE

RIA News


	LPL's Employee Channel Adds $290M Team From Morgan Stanley

Diana Britton

Father and daughter James and Amanda Zack launch The Zack Wealth Group at Linsco, LPL’s employee advisor division.

FULL ARTICLE

RPA Edge


	The Future of 401(k) Managed Accounts

Fred Barstein

It may determine the fate of retirement income as a whole.

FULL ARTICLE

Technology


	Robinhood Acquires AI-Driven Investment-Advice Platform Pluto

Paige Smith (Bloomberg)

The artificial intelligence research platform is best known for its AI-driven personalized investment advice and real-time analytics. The terms of the deal weren’t made public.

FULL ARTICLE

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Weakened SEC Could Boost Settlements, State Regulators’ Roles

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