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Joseph H. Neely is a former director of the FDIC and career banker. He is president of Neely and Associates, a consulting firm advising banks on regulatory and strategic matters.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

Abby Salameh, chief growth officer at RFG Advisory, is a seasoned C-suite executive with extensive expertise in expanding financial advisory, alternative investment, fintech and financial services organizations, particularly those undergoing transformation.

She has held CMO positions at RIAs including Private Advisor Group and Hightower Advisors, as well as alts platform CAIS.

Opportunistic competitors anticipating trades are swooping in first, moving prices, according to a recent study.

Peter Dugas is an Executive Director at Capco and leads Capco's Center of Regulatory Intelligence, focusing on delivering political and regulatory intelligence and optimizing regulatory change management programs for clients across the globe. With 25 years of experience helping clients solve their most pressing governmental challenges, Peter's career has primarily focused on providing advice on laws and regulations, regulatory affairs, and risk and compliance for financial services clients and Fortune 500 companies.

Before joining Capco, Peter worked as a lobbyist for the financial services industry and has served in senior executive positions in the U.S. Government, including the U.S. Department of the Treasury, CDFI Fund, U.S. Department of Labor, and U.S. Small Business Administration. He is frequently featured in publications such as Wall Street Journal, American Banker, The Hill, Bloomberg, Bloomberg Law, Politico, and Business Insider.

For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end.

Young athletes are raking in as much as several millions of dollars a year, but the nascent legalized pay for student-athletes needs reforms, a new study said.

Advisors say they are watching these changes closely, making portfolio adjustments where needed and generally reassuring nervous clients that they have planned for this sort of volatility.

Brittney Bello is the president and co-founder of SolV Independent Insurance Associates.