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Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.

Make one-time contributions to 529 plans without the IRS getting its cut. Plus, how effective planning enhances portfolio returns without the risk.

It is expected that Medicare’s hospital-insurance trust fund will have depleted reserves by 2028 or two years earlier than last year's estimates, according to report.

Your clients’ generous intentions can actually work against them. How to help navigate a thorny but navigable issue.

For the better part of a decade, Ken has been a recognized thought leader and advocate for positive transformation in healthcare through the strategic application of technology. Prior to joining Lexmark, Ken served as Editor In Chief of Health IT Outcomes, a B2B media outlet dedicated to educating healthcare providers on how to successfully leverage information technology to improve business operations and patient outcomes.

Wells Fargo, Morgan Stanley, Bank of America and J.P. Morgan Chase were among the dissenters, people familiar with the matter said.

To attract new clients—and keep current ones — planners need to step up their game. Here’s how new digital tools can help.

Rich, senior associate at FordHarrison LLP, concentrates her practice on the representation of employers in labor and employment law matters. She has experience handling a wide range of employment issues including conducting internal investigations of sexual harassment and assault, pregnancy discrimination, whistleblower claims, and misappropriation of trade secrets. Joanna also counsels employers on employee handbooks, FMLA eligibility, wage and hour compliance and disciplinary issues.

Salvador P. Simao, partner at FordHarrison LLP, focuses his practice on the representation of companies in employment law matters with a specialization in wage and hour litigation and compliance. Sal also frequently defends employers against allegations of age, race, national origin, disability, and sex discrimination; sexual and racial harassment; and retaliation.

The wirehouse was hit with sanctions from the SEC and FINRA for disregarding securities rules, misusing clients’ cash and not disclosing product costs.