The Latest

A FINRA arbitration panel sided with a claimant who contended Wells and one of its advisors should have recognized telltale signs of elder fraud when their client decided to give away tens of thousands of shares of Aflac stock.

Kenneth Silva Ballard, an investment advisor for First Affirmative Financial Network, seeks to carefully order the "ingredients" of his tech stack so they work well together.

The tax-efficient, low-cost funds may have an even greater advantage over traditional mutual funds due to the IRS's lack of a definition for "substantially identical" securities.

Smadar Rinat, CPA, CFE, is a principal in the international and audit and accounting departments of Prager Metis CPAs, a member of Prager Metis International Group. She has over 25 years of experience in the accounting industry. She specializes in providing audit, review, compilation, and accounting services to clients in a wide range of industries, including media and entertainment, technology, not-for-profit, professional services, manufacturing and distribution, and real estate. She is also the leader of the firm's Israel group. In this role, she offers financial and business strategy consultancy to Israeli companies working in or looking to develop operations in the U.S., as well as domestic companies interested in expanding their businesses into Israel.

From LPL Financial's legal challenges to a continuing education scam that involved more than 60 brokers, these are the stories our readers flocked to in 2024.

The SEC should amend the regulation in order to help workers who can't afford to wait for an IPO to access the value of their equity.

Mark S. Bonta is the Executive Director of the Recovery Jobs Foundation, an initiative  focused on reintegrating individuals in recovery into the workforce. With 20 years of  experience as a Plant Director and 6 years of experience as a recovery-friendly employer,  he pioneered the New Hampshire Recovery Friendly Workplace Initiative (NH-RFWI) as one  of the first RFW's in the nation. Mark's leadership has been recognized with several awards,  including the 2022 Littleton Area Chamber of Commerce Citizen of the Year Award and the  2023 White Mountains Community College President's Community Partner Award.  Currently formalizing the Recovery Jobs Foundation, he also serves on the NH-RFWI  Advisory Council, and as Secretary of the Florida Recovery-Friendly Workplace Coalition.

Edward Turley, a once high-flying advisor booted from the industry in 2022, is at the center of a dozen client settlements costing JPMorgan upward of $63 million.

High-yield cash opportunities, alternative investments, ETFs and short term bonds received renewed interest.

Alex Konanykhin is the co-founder and CEO of Unicoin.