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American Portfolios Financial Services, a formerly independent brokerage now under the Osaic umbrella, was accused of not being forthright about its handling of clients' uninvested cash.

Patrick Armstrong leads the revenue function at ReSource Pro, guiding the company's go-to-market strategy across the retail, MGA/wholesale, and carrier segments. With more than 30 years of sales and insurance leadership, including 17 years as an agency principal, he brings deep industry expertise to helping organizations improve performance and drive profitable growth.

For advisors who are also voracious readers, it's no surprise the books that most inspired them in their practices this year often focused on ways to improve client relationships and communication.

It's no surprise that AI saw big gains, but some longstanding winners saw their fortune flag.

Chandan Lodha is the co-founder and president of CoinTracker, the leading portfolio tracking and tax compliance software for cryptocurrency. Since co-founding CoinTracker with Jon Lerner in 2017, the company has helped users file over a million tax forms. Before founding CoinTracker, he was a product manager at Alphabet, working on Project Loon (internet for rural parts of the world via stratospheric balloons), Google Now and Knowledge Graph. He received his BA degree with high honors in chemistry and physics from Harvard University.

A detailed to-do list for SEC-registered firms to build a foundation for compliant and effective anti-money laundering protocols.

Robert Cruz has been with Smarsh for over ten years as the Vice President of Regulatory and Information Governance. His primary objective is to help Smarsh customers stay informed of regulatory developments and deploy best practices in the use of digital communications technology. Robert is a recognized author, speaker, and subject matter expert in the area of digital communications compliance and brings over two decades of leadership in the governance, risk, and compliance market. 

Fixed-income represented a surprising bright spot in 2025, despite the warnings of "bond vigilantes" and inflation pressure. Here's the outlook for 2026.

Chris Arnold is the Vice President of Contact Center Strategy at ASAPP, where he partners with leading insurance carriers to modernize claims, billing, and customer service operations with AI. With more than 15 years of experience in customer experience transformation and contact center innovation, he specializes in helping enterprises operationalize AI to drive measurable efficiency and improve policyholder satisfaction.

Jenny Small serves as regulatory counsel for the stablecoin issuance firm Rain. She is a former attorney at the Office of the Comptroller of the Currency and then spent time in private practice before joining Rain.