CFP Board Imposes Public Discipline
Disciplinary actions relate to 24 current or former CFP® professionals
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WASHINGTON, Jan. 19, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced today public disciplinary actions against the following individuals, effective immediately or on the date noted in each case. Public disciplinary actions taken by CFP Board, in order of increasing severity, include Public Censures, Suspensions and Permanent Revocations. This release contains information about recent disciplinary actions relating to 24 current or former CFP® professionals. Of these actions, there are six Public Censures, 10 Suspensions, and eight Revocations.
Broker-dealers brace for cyberthreats
2020 was the year that independent broker-dealers needed to rely on technology more than ever, with home-office staff and a large number of advisers working from home or in remote offices. What if criminals breach a broker-dealer s cyber wall?
January 18, 2021 5 MINS
It’s the nightmare of every independent broker-dealer executive, particularly after the recently revealed Russian hack of upwards of 250 federal government agencies and businesses put a spotlight on cybersecurity. What if criminals breach a broker-dealer’s cyber wall by impersonating its financial advisers?
The phony advisers call the broker-dealer’s support line and request new passwords, which gives the intruders access to the personal information of thousands of clients.
How the Biden administration can protect retirement savings
The Labor Department s fiduciary rule and the SEC s Reg BI pose a real threat to the retirement savings of investors, but the Biden administration can put an end to the threat.
January 15, 2021 4 MINS
On the long list of the Trump administration’s Christmas gifts for big business that need to be taken back as soon as possible in 2021, perhaps none is as little understood and yet as far-reaching as the tag-team campaign by the Trump Securities and Exchange Commission and Department of Labor to undo the Obama administration’s good work in requiring a fiduciary standard under which brokers would have to put the interests of their clients ahead of their own.
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Northwest Indiana Bancorp Announces Intent to Seek Listing of Common Stock on the Nasdaq Stock .
Northwest Indiana BancorpJanuary 6, 2021 GMT
MUNSTER, Ind., Jan. 06, 2021 (GLOBE NEWSWIRE) NorthWest Indiana Bancorp, an Indiana corporation (the “Bancorp”), announced that its Board of Directors has authorized the Bancorp to seek a listing of its common stock on the NASDAQ Stock Market (the “NASDAQ”). The Bancorp intends to file an application to list its common stock on the NASDAQ by the second quarter of 2021. The Bancorp’s common stock currently is quoted on the OTC Pink Marketplace, which is maintained by OTC Markets Group, Inc., and on the OTC Bulletin Board, which is maintained by the Financial Industry Regulatory Authority, Inc., under the symbol “NWIN.”