WealthManagement.com Daily Memo
 
Wealth Management Morning Memo

MAY 17, 2024

INDUSTRY

TD Bank Sues Raymond James, Ex-Employees for Stealing Clients With $22M in Assets

TD Bank is seeking a restraining order against the two former employees and filed a lawsuit against them and Raymond James.

FULL ARTICLE

RIA EDGE

Preparing for Succession

Too many RIAs fail to clear a path for junior advisors to take over, threatening the future viability of the business. A panel of practice management consultants at Wealth Management EDGE discussed why that’s a mistake and what advisors can do to change it.

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SPONSORED CONTENT

Large Retailers Have Hit Turbulence

Does this spell trouble for the retail sector as a whole?

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CAREERS

DEI Is Not the Devil

The power of representation and how my journey led me to financial services.

FULL ARTICLE

REGULATION AND COMPLIANCE

Regulators Must Distinguish Financial Advisement from Investment Advisement

How illogic in DOL’s Retirement Security Rule produces a crisis of identity for insurance professionals.  

FULL ARTICLE