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September 30, 2020

Finra Suspends Ex-Merrill FA Accused of Improperly Handling Client Data 
Michael Jeppson allegedly sent unsecured emails with client data to himself ahead of his planned move to Raymond James.
JPMorgan Admits to Manipulative Trading, Settles for Nearly $1B
For nearly a decade, JPMorgan traders and sales personnel openly disregarded U.S. laws that serve to protect against illegal activity in the marketplace, says the assistant director of the FBI's New York Office.
Home Office News: RBC Wealth’s ESG Scrutiny, Fidelity’s Virtual Reality Onboarding, and More
A roundup of key updates from major industry distributors: RBC Wealth Management, Fidelity Investments and JPMorgan.
Top Advisors Weigh In: Pandemic Lessons Include Empathy, Staying Connected
This FA says his team speaks to clients regularly and brings them the best thinking of the firm.
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Archive: How to Election-Proof Your Clients’ Portfolios: From Taxes to Volatility
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Poll
Who Won Last Night’s U.S. Presidential Election Debate?

The first 2020 U.S. presidential election debate was held last night and the Financial Times describes that it “degenerated into an ugly spectacle … as Donald Trump repeatedly interrupted Joe Biden and the Democratic challenger responded by calling the president a racist and telling him to ‘shut up.'" In your opinion, who won last night’s debate?

JPMorgan Consumer Unit to Stay Remote As Wall Street Staff Returns to Offices
The decision goes against the firm’s directive to traders in New York issued earlier this month.
UBS Says Gold a Safe Bet Ahead of U.S. Presidential Election
The company says that the likelihood of a contested election will cause market volatility.
Empower to Acquire $6B Retirement Plan Assets of Fifth Third
Fifth Third will continue to manage $4.2 billion in plan assets of the $6.21 billion it oversaw as of the end of August.

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