More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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Investor advocates and others worry that recent changes to who can serve on FINRA panels will exclude arbitrators most likely to be sympathetic to ordinary investors.
June 4
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Prince-Alex Iwu is an associate with the law firm Diaz, Reus & Targ. Prince-Alex's expertise includes international arbitration, corporate investigations, compliance and cross-border disputes. He advises clients in navigating complex regulatory frameworks, including sanctions and financial crime compliance.
June 4
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Ishmael Green is a partner with the law firm Diaz, Reus & Targ. His expertise includes complex commercial litigation, class action defense, securities and fraud litigation, cryptocurrency law and regulatory compliance. Green advises U.S. and multinational corporations on digital asset disputes and has provided expert commentary on cryptocurrency regulations.
June 4
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Michael Diaz Jr. is the global managing partner of law firm Diaz, Reus & Targ. Michael is a Florida bar board-certified international litigation and arbitration attorney and an ACAMS-certified anti-money-laundering specialist with 38 years of experience leading cross-border investigations, FCPA and OFAC matters, asset recovery and crypto-related disputes.
June 4
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Senate Republican Leader John Thune has been a vocal critic of the 40% estate tax paid by the wealthiest U.S. individuals when they die.
June 4
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Upgraded features include AI-driven estate document analysis, a redesigned questionnaire-driven workflow and observations categorized by analysis and guidance, among others.
June 3
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Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.
June 3
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Brian Mora, senior vice president of experienced advisor recruiting, thinks Ameriprise has the antidote to the high dropout rates seen in most industry training programs.
June 3
