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Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

World Insurance's Pensionmark unveiled a giant deal following the insurer's private equity agreement for $1 billion in financing at a valuation of $3.4 billion.

The latest incoming recruit to the firm's Institution Services unit followed a half dozen other big moves by the firm in the bank and credit union channel in recent years.

Americans owe over $1.6 trillion on federal student loans, and repayment starts this fall. There are options for blunting the burden on clients.

Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.

David Lingerfelt is senior director of indirect tax at Avalara. He is a tax attorney specializing in indirect taxes. He worked as a government tax administrator for seventeen years before joining Avalara. His regulatory experience includes auditing, tax controversy, collections, taxpayer education, and compliance documents processing.

According to the SEC, agreements that violated the cash solicitation rule generated 66,000 new clients and $300 million in AUM for the offending firm.

The firm follows its major move to the Midwest by expanding its executive leadership team.

A lawyer representing Keith Todd Ashley argues prosecutors overreached in arguments used to obtain life sentence against his client.

Alex Loewenstein is the general manager of Paro for CPA Firms at Paro.