DECEMBER 18, 2020

REGULATION AND COMPLIANCE

CFP Board Suspends Financial Planner’s License Over Child Porn Charges

Diana Britton

Daryll D. Claxton of Havertown, Pa., is currently in jail, facing charges of more than 50 felony counts, primarily related to child pornography.

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REGULATION AND COMPLIANCE

FINRA Hits Cetera With $1 Million Fine Over Dual Registrant Oversight

Patrick Donachie

The regulatory agency said three Cetera broker/dealers had previously been told by the SEC of the failures to properly supervise certain transactions of dually registered representatives, but failed to set up systems for properly doing so.

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Sponsored by Advicent

For firms facing numerous obstacles, FinTech is key to success.

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TECHNOLOGY

Riskalyze Fintech Report Card: November 2020

Aaron Klein

Riskalyze CEO Aaron Klein provides his take on the biggest news to hit advisor technology in the previous month.

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MICHAEL KITCES' #FASUCCESS PODCAST

Why Marina Hernandez Chooses to Work with U.S., Swiss Cross-Border Expatriates

Michael Kitces

Marina Hernandez explains what makes the niche of cross-border planning for expatriates so unique and so complex.

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WEALTHIES CIRCLE PODCAST

Janney Montgomery Scott's Programs for Advisors

In partnership with Janney Montgomery Scott

Janney's Tony Miller discusses the programs the firm has implemented for its current and incoming advisors.

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Wealthies Circle Spotlight

Edward Jones Total Rewards

Contributed by Edward Jones

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