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

Tuesday, 25 August 2020
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Markets & Investments

With last week’s turbulence, some market watchers are wondering when the next big pullback will happen… or if it has already begun. So reports CNN.

Sunday, 06 September 2020
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A new survey from Principal shows that the COVID-19 pandemic has taken a heavy toll on the confidence of those saving for retirement and those already in retirement. So reports The Winston-Salem Journal

Monday, 22 June 2020
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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.

Saturday, 20 July 2019
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