Join us on this episode of Focused on the Future as host Suzanne Siracuse sits down with Beth Bosworth, wealth advisor and head of planning at Perigon Wealth Management. Beth highlights her effective strategies for attracting and retaining next-generation clients, how being a member of the LGBTQ community has impacted her planning services with clients,…

Since the start of 2023, investors have had to deal with interest rates at levels not seen since 2007. However, the last cycle of rate hikes is now behind us and it's time to focus on what cuts of rates means for markets. The Federal Reserve has signaled that a rate cut could be on…

A federal judge struck down a Missouri state securities regulation regarding advisers' disclosures to clients when considering ESG factors in investment decisions. The Securities Industry and Financial Markets Association (SIFMA) filed the lawsuit shortly after Missouri Secretary of State (and former Republican gubernatorial candidate) Jay Ashcroft's regulation went into effect in July 2023. Ashcroft and…

The Securities and Exchange Commission continues to crack down on practices around off-channel communications, with the regulator accusing 26 broker/dealers and registered investment advisers this week of “widespread and long-standing failures” to maintain electronic communications. The firms have agreed to pay a combined civil penalty of $392.75 million to settle the violations. Ameriprise Financial, Edward…

Our speakers will cover the basics of private foundations, including what they are, the basic requirements for creating and maintaining them, which clients will benefit from creating them, their tax implications and how they differ from donor advised ones Source link

The founder and CEO of Atlanta-based Drive Planning is running a $300 million real estate Ponzi scheme affecting more than 2,000 investors, according to the Securities and Exchange Commission. The commission imposed a preliminary injunction and asset freeze on Russell Todd Burkhalter to stop the alleged Ponzi scheme. According to the SEC, Burkhalter, through Drive…

In her role as head of culture and field experience at RBC Wealth Management US, Shareen Luze is responsible for ensuring that the firm's 2,200 financial advisors feel supported and have a similar employee experience to those in the office. home. One particular area of ​​focus, which has become more acute in the global pandemic,…

Advyzon, an end-to-end technology platform, has hired Samantha Schwimmer as its new chief marketing officer. Schwimmer joined from Northern Trust Asset Management, where he served as vice president, overseeing the company's global marketing campaigns and content and creative team. In the newly created role, she will help Advyzon expand its market presence, demonstrate its value…

The taxman waits for no one. Unable to file tax returns while wrongfully detained, hostages are often welcomed home with a tax bill. In this case, the three freed Americans who were held hostage in Russia are now facing fines and Internal Revenue Service fees assessed while in captivity. Wall Street Journal reporter Evan Gershkovich,…

Open, honest and candid discussion about lawsuits against TIAA and Morningstar, CITs bigger than mutual funds in TDFs, private equity in retirement plans and more. Source link