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The state regulator says its proposal is necessary after the commission failed to craft a uniform fiduciary standard.

Among other changes, the bank lowered its minimum investment.

A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.

The recruits include a 37-year industry veteran who co-managed $240 million in client assets.

Preston Kennedy is president and CEO of Zachary Bancshares Inc. in Zachary, La. He is a former chairman of the Independent Community Bankers of America.

Jeff Fucito, CPA, is Mauldin & Jenkins' partner-in-charge of the Atlanta office and serves as the advisory service practice leader. He received his BBA in Accounting from the University of Georgia in 1985 and has been with Mauldin & Jenkins since, specializing in providing audit and tax services for various not-for-profit organizations. His experience also includes audit, reimbursement, and tax experience with long-term care facilities and other health care entities, in addition to manufacturing and distribution entity services, income tax planning, income tax preparation and consultation for individuals and corporations.

There's a lot to navigate when it comes to assuring clients that the benefits outweigh the headaches.

Two-thirds of women say they don’t work with an advisor because they believe they can’t afford it or don’t have the necessary assets.

The firm agreed to “remove language that formed the basis of the alleged misrepresentations."