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Pandemic fuels retirement fears, study finds
RETIREMENT RETIREMENT PLANNING OCT 21, 2020
Pandemic fuels retirement fears, study finds

The majority of workers affected by COVID-19 are pessimistic, a Wells Fargo study shows

Former SagePoint rep fined $5,000 for unapproved private transactions
NEWS REGULATION AND LEGISLATION OCT 21, 2020
Former SagePoint rep fined $5,000 for unapproved private transactions

Troy Baily of Omaha, Nebraska, was also suspended for six months for selling $210,000 in Future Income Payments

More participation equals more savings, Fidelity study of retirement plans finds
RETIREMENT RETIREMENT PLANNING OCT 20, 2020
More participation equals more savings, Fidelity study of retirement plans finds

Workers enrolled in both stock purchase plans and company 401(k)s tend to save more

Father-son planning duo launch firm aimed at pharma execs
NEWS RIAS OCT 20, 2020
Father-son planning duo launch firm aimed at pharma execs

MRK Wealth Advisors is based in Doylestown, Pennsylvania

Hightower takes stake in $800 million Hart Financial Group
NEWS INDUSTRY NEWS OCT 20, 2020
Hightower takes stake in $800 million Hart Financial Group

Austin, Texas-based hybrid has 12 employees, including five advisers

LPL nabs $1 billion hybrid from Cetera
NEWS BROKER DEALERS OCT 19, 2020
LPL nabs $1 billion hybrid from Cetera

Omaha, Nebraska-based Tagge Rutherford Financial Group has 25 advisers

THE INVESTMENTNEWS PODCAST OCT 19, 2020
'All trick and no treat.' Mary Beth Franklin on the Social Security trust fund crisis and Wells Fargo lays off advisers

Hosts Jeff Benjamin and Bruce Kelly tackle the Wells Fargo riddle, with it's budget cuts that sent a sizable group of advisers packing. The Social Security trust funds, created to help pay future retirement benefits when payroll tax revenues alone are no longer sufficient, will run dry sooner than previously predicted due to the COVID-19 pandemic and the recession it triggered. Mary Beth Franklin joins to discuss her important cover story.

Planning for uncertainty around Social Security
NEWS OPINION OCT 19, 2020
Planning for uncertainty around Social Security

The shutdown caused by the pandemic threw millions of people out of work, which cut into the FICA payroll taxes that fund Social Security payments

RBC advisers managing $416 million move to Raymond James
NEWS BROKER DEALERS OCT 16, 2020
RBC advisers managing $416 million move to Raymond James

Kirk Abrahamson and David Gray are joining the firm's employee unit in West Des Moines, Iowa

Court in Colorado enters judgment against Ponzi schemer
NEWS REGULATION AND LEGISLATION OCT 16, 2020
Court in Colorado enters judgment against Ponzi schemer

Daniel Rudden of Denver had received a 10-year sentence in a parallel criminal case