Regulatory & Compliance

Former financial advisor Ash Narayan, 55, was sentenced to 37 months in federal prison for scamming several professional athletes, including ex-NFL quarterback Mark Sanchez, and MLB pitchers Jake Peavy and Roy Oswalt. So reports the Los Angeles Times.

Thursday, 26 November 2020
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Markets & Investments

While the economy still has some significant hurdles to overcome, the Dow Jones Industrial Average broke past the 30,000 point mark recently. Mark Teed, an FA with Raymond James, says the market “continues to look promising” after positive COVID-19 vaccine news and the transition to the Joe Biden administration gets underway. So reports WWLP.

Thursday, 26 November 2020
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Retirement

U.S. House of Representatives Ways and Means Committee Chairman Richard Neal (D-Mass.) and Ranking Member Kevin Brady (R-Tx) introduced legislation aimed at expanding automatic enrollment in retirement plans and savings options for nonprofit workers. So reports Plan Sponsor.

Friday, 30 October 2020
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Technology & Communications

A big challenge among financial advisors during the pandemic has been inadequate technology. So reports U.S. News & World Report.

Friday, 30 October 2020
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