The Latest

This year's conference features sessions centered around improving the client experience, future proofing your business and understanding the regulatory environment.

Steve Voss serves as Vice President of Independent Business Consulting at Raymond James. Drawing on more than 15 years of business consulting experience, he has partnered with hundreds of financial advisors across the country to establish their independent businesses. 

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

Eugenie Casier is director of governance, risk and compliance for Clausematch.

The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.

Plus, Savvy Wealth launches a direct indexing tool, AssetMark adds experience to its roster and Asset-Map teams up with Morningstar.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

The firm blamed a coding error from a trading software it upgraded at the time. FINRA took nearly eight years to discipline Goldman for the problem, which allegedly began in 2015.

W. Michael Hsu, CPA, is founder of DeepSky, an outsourced CFO service known as the Accounting Department for Entrepreneurs. After 10 years of building a financial consulting firm and working with entrepreneurs advising their multimillion-dollar businesses through systems and processes, Hsu has taken his experience in entrepreneurship and condensed it into a methodology named Measure x Hack to serve as a guide to building a successful business, life, and relationship.