October 7, 2020
Ex-Edward Jones FA Arrested on Theft and Forgery Charges
Casey Kemerly allegedly stole the computer of a business associate and then used her clients to start his own business.
Schwab to TD Ameritrade FAs: Welcome. You’ll Feel Right at Home Here
Charles Schwab executives committed to bringing the two companies’ systems and cultures together.
Atlanta FA Vanishes Amid SEC Investigation
Chris Burns left home the day before he was required to provide the regulator with information about his business, his wife told local police.
Top Advisors Weigh In: The ‘Need for Open, Raw Conversations’ About Unconscious Bias and Embedded Racism
Initiatives of this FA’s firm include developing relationships with historically Black colleges and plans for an internship program and scholarship for students from diverse backgrounds.
Finra Proposes Changes to Senior Financial Protection Rule
The industry’s self-regulator is seeking comments on extending allowable hold periods and permitting temporary holds on transactions.
Bumpy Markets? Bond ETF Liquidity Sleeves Aim to Smooth the Path
By setting aside a portion of your clients' portfolios to ETFs, they can find themselves with needed flexibility when the markets get rough.