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Arete Wealth’s niche focus on alts for HNW and UHNW clients has given it a strong foothold in a fractured sector, experts say.

The U.S. Small Business Administration released a one-page form aimed at simplifying the process of applying for forgiveness of Paycheck Protection Program loans, along with newly revised and updated forms to meet the requirements of the latest stimulus legislation.

Jacob Glick is accused of breach of fiduciary duty and misappropriating client funds, among other alleged misconduct.

Biden’s Treasury secretary pick promised to “work with members of Congress” to decide whether the HNW will be protected from any reversal of Trump tax cuts.

Firms are bracing for tougher times in Washington, where Democrats skeptical of large financial-industry paychecks are ascendant.

The CEO of three-generation family firm says they wanted to remove conflicts of interest and offer banking and trust services to clients.

SA Stone Wealth Management representative Gregory Frank Estes had already registered as a sex offender after a 2002 conviction, records show.

BNY Mellon’s custodian is growing, even as it loses some major clients amid industry consolidation.

Kathy Murphy played a key role in scaling the company’s retail advice channel.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.