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
Nearly 65% of adults who use a financial advisor say they feel more prepared now for a potential recession than they did in 2008, according to recent study sponsored by the Certified Financial Planner Board. So reports Yahoo Finance.
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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