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A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.

Al Kushner is a leading expert in Medicare and the author of the award-winning book "Virtual Medicare — 10 Costly Mistakes You Can't Afford to Make." He has worked closely with accountants, helping them guide their clients through the complexities of Medicare. Reach him at (888) 810-9725 or media@virtualmedi.care. 

Darren Tedesco is co-founder and president of Advisor360°, a leading provider of integrated technology for wealth management firms, where he is responsible for guiding the vision of the platform, technology strategy and company direction.

He began his career at Commonwealth Financial Network in 1994, starting as a member of the finance team and transitioning to the company's technology department in 2000, where he became managing principal of innovation and strategy. He received his MBA from Bryant University and holds a B.S. from the University of Connecticut.

The proposed changes, including to brokers' "payment for order flow" practices, laregly come in response to frenzied trading in so-called meme stocks.

Former NFL star and UBS Head of Sports and Entertainment Adewale Ogunleye said professional athletes tend to prefer female advisors for whom "male ego" does not get in the way.

While the Auto IRA Act of 2024 is "long overdue" for some, others feel it represents the "nanny state."