James T. Swanson, CFA

Chief Investment Strategist

TRENDING

Regulation and compliance

Ex-Army advisor to bereaved families faces decades in prison after fraud plea

Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.

By Dan Shaw

18m ago
Industry News

Ameriprise closing in on $1T in client assets

The number of experienced financial advisor recruits fell in the first quarter, but Ameriprise's overall headcount and its profits are on the rise.

By Tobias Salinger

1h ago
Regulation and compliance

DOL issues final retirement advice rule, setting up potential court fight

Opponents haven't stated publicly that they will file a lawsuit, but one will almost certainly challenge the Biden administration's expansion of the fiduciary duty.

By Tobias Salinger

3h ago