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The free trading app’s breakneck growth hurt the same small-time investors it sought to empower, FINRA says.

James Gilmer is a compliance specialist at Harbor Compliance, a provider of compliance solutions for companies of all types and sizes that has helped more than 25,000 organizations apply for, secure and maintain licensing across all industries. He helps nonprofit organizations leverage compliance to enhance their fundraising and program activities and educates the sector on compliance issues. He is also a co-founder of Berks Sinfonietta, Inc., a nonprofit chamber orchestra located in Reading, Pennsylvania.

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.

U.S. retail customers who said their primary bank met their needs for guidance gave it much higher grades, according to J.D. Power’s annual survey.

The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.

There is no single path to retirement today, and employees are demanding more variety from company offerings.

National Taxpayer Advocate Erin Collins pointed to continuing backlogs at the Internal Revenue Service and difficulty reaching telephone assistance in a report to Congress Thursday.

The robo advisor for socially conscious investors will benefit from becoming part of the largest U.S. bank, but "we also want to maintain the dynamic ... that made OpenInvest what it is," one of its co-founders says.

Wall Street’s remote-work wars intensify as Citigroup commits to a flexible policy with some days at home.

Cissy Williams is Senior Vice President and Chief Customer Officer for Protective Life Corporation. In her current role, she is responsible for the strategic vision of customer experience and accountable for collaborating with enterprise-wide business owners to execute on strategy. Ms. Williams oversees operations of the annuity business, life insurance administration, licensing, contracting and compensation, and claims. In 2015, she joined our organization as Protective’s first Customer Experience leader.

Prior to joining Protective, Ms. Williams served in leadership roles in the development and delivery of operational strategies at Unum. She led strategy development and planning, enabling Unum’s three companies to leverage more enterprise assets to create and sustain business value.

Ms. Williams earned a Bachelor of Arts degree from Duke University and Master of Business Administration from Wake Forest University.