Written by: Cindy Hamilton Posted on: January 22, 2021Finra examines reps taking PPP loans for potential violations
Finra is concerned that some reps are receiving federal financial support connected to work they’re doing outside of their brokerage jobs. Its exams are not part of a sweep; they target individual reps who received loans.
The post Finra examines reps taking PPP loans for potential violations appeared first on InvestmentNews. …
Written by: Cindy Hamilton Posted on: January 22, 2021Cetera zeroes in on user experience with Riskalyze
The broker-dealer is leveraging its enterprise partnership with Riskalyze to automate risk management and enhance customer experience, which are now available to Cetera’s network of 8,000 advisers via the AdviceWorks platform.
The post Cetera zeroes in on user experience with Riskalyze appeared first on InvestmentNews. …
Written by: Cindy Hamilton Posted on: January 22, 2021Texas broker charged with child sexual assault
Gregory Estes had faced earlier charges of child sexual abuse, which were dismissed. Estes, who has been a registered rep with SA Stone Wealth Management Inc. since 2012, now faces four charges in total.
The post Texas broker charged with child sexual assault appeared first on InvestmentNews. …
Written by: Cindy Hamilton Posted on: January 22, 2021Fidelity launches pooled employer plan
Fidelity Investments became the latest to register with the Department of Labor as a pooled plan provider. The PEP, which appears to target small businesses, could significantly boost the company’s presence in that market – the bulk of Fidelity’s defined-contribution plan business is with large employers.
The post Fidelity launches pooled employer plan appeared first on InvestmentNews. …
Written by: Cindy Hamilton Posted on: January 22, 2021Fidelity executive leading $3.6 trillion Personal Investing group retires
After 12 years as president of the division, Kathleen Murphy, 57, will depart this summer; her successor has not yet been named.
The post Fidelity executive leading $3.6 trillion Personal Investing group retires appeared first on InvestmentNews. …
