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The penalty stems from lapses tied to a March 2020 outage and allegations that the fintech firm let thousands of clients trade options that might not have been appropriate for them.

Eliminating the benefit often used by private equity firms is one of the reforms Biden and Democrats are planning to use to help pay for the biggest social spending expansion in decades.

Geoff Bruskin leads the recruiting practice at StangerCarlson LLC. Reach him at geoff@stangercarlson.com or (914) 494-7358.

Andrew Tasnady shares insights from FP’s annual pay survey and how he expects the grids to shift in the future.

Edward Al-Hussainy, senior interest rate and currency analyst at Columbia Threadneedle, will discuss the economy, inflation and the Federal Reserve.

The wealth management firm has about $240 million assets under management and 220 clients.

The New York-based bank is broadening its offering to financial advisors, a key source of growth in the asset-management industry.

After hiring Kara Murphy, the wealth manager aims to roll out investment management research and modeling tools for more than 2,400 advisors.

The near doubling of the capital gains tax rate would have a large impact on the net profit from any sale of any capital asset.

Drew Hermiller is an associate at Nelson Mullins in Charleston, South Carolina. Hermiller practices with the tax and benefits group and has experience counseling clients on complex domestic and cross-border transactional tax matters. He can be reached at drew.hermiller@nelsonmullins.com or (843) 534-4125.