Regulatory & Compliance
The Financial Industry Regulatory Authority (FINRA) has suspended and fined Michael A. Erwin, a former Edward Jones & Co. broker based in Topeka, Kansas, for negotiating his own settlement with an unhappy customer. So reports Advisor Hub.
Markets & Investments
Technology & Communications
The Advisor Group has launched the CyberGuard Program, which leverages the company’s state-of-the-art cybersecurity tools to enable financial professionals to keep their clients' sensitive data secure. So reports Yahoo Finance.
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