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The two announcements hours apart came after at least 33 firms with $1 billion or more in client assets changed hands in the first quarter.

The move brings wealth building and retirement planning advice to a large, underserved population of new clients.

The SEC alleged the company did not disclose its conflicts of interests related to mutual fund share classes, cash sweep arrangements, and no-transaction fee revenues, according to a recent SEC filing.

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.