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Laurén Robbins To is vice president and general manager of financial services at ServiceNow.

The firm will pay restitution and fines to settle allegations that it failed to flag more than 100 client accounts for overconcentration in high-yield bonds.

The firm faces an additional penalty after it didn’t participate in the regulator’s self-reporting initiative.

LPL Financial reeled in the largest haul, but RIA consolidators and other rivals also completed mega-moves in 2021.

Experts discuss the proliferation of chief diversity officers across the industry and what it may mean for future progress in diversity.

Mark Angelov is a partner and co-chair of Arent Fox’s Public Finance Group

The ability to deduct the full value of the stock and avoid capital gains taxes is lesser-known by rich investors and many advisors.

Private Advisor Group received capital from Merchant, while Integrated Partners has recruited nearly a dozen practices this year.

An exceptional year for wealthy Americans, at least in terms of their financial health, just got better.

Hester Peirce will become the only GOP commissioner at the agency.