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The regulator’s frequent reviews display shortcomings in three different areas, according to a new GAO report.

Here's what you missed this week in wealth management.

An expert says investors should wait until benchmark Treasuries yield 3% before abandoning growth stocks and embracing value shares.

Alexandra Steinberg Barrage is a partner in the banking and financial services group at Davis Wright Tremaine LLP. Ms. Barrage served as associate director of policy in the FDIC’s complex institution supervision and resolution division.

JPMorgan Chase executives were supposed to make sure employee communications were archived for regulatory scrutiny. But for years, even the bosses were using their mobile phones to tap out work-related messages — a practice so pervasive that U.S. authorities dropped the hammer Friday, imposing $200 million in fines.

Advocacy clinics at law schools can help protect vulnerable clients, but only if they're well-funded and widely distributed.

The orders from FINRA and the SEC respectively fault the firms for unsuitable rollovers and deficiencies exposed in a microcap scheme.

Paul Ricky Mata started a real estate scheme in 2008 that allowed him to drain more than 100 victims of millions. His victims will never fully be repaid.

Former rep Edward L. Turley has at least five other pending arbitration cases seeking more than $62 million in damages.

Nicole G. Iannarone is an Assistant Professor of Law at Drexel University Thomas R. Kline School of Law.