Regulatory & Compliance
The New Hampshire Bureau of Securities Regulation alleges that former financial advisor Dan Stokes of Fremont, New Hampshire, misallocated up to $576,000 that he raised from clients by falsely claiming he would invest the assets in a charity that involved Taylor Swift and Bill Gates. So reports the Union Leader.
Markets & Investments
In a recent survey by UBS, 55% of wealthy investors say they fear a big market drop prior to the end of 2020. So reports Think Advisor.
Charles Schwab and Employee Fiduciary have seized the top two slots in a recent ranking of 401(k) providers by The Street.
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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