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Shelley Stewart is senior partner at McKinsey & Co. and a leader within McKinsey's Private Equity & Principal Investors Practice.

A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said.

The changes reflect an effort to give penalties more teeth, similar to what the regulator did last year with Robinhood's $70 million fine.

Dr. Jawad Arshad is the CEO of Wow Health Solutions.

Plus, Betterment enters a deal to offer digital assets as a new survey finds Americans are cooling on crypto.

Brian J. Kelleher is a partner at Fiondella, Milone & LaSaracina LLP (FML CPAs), an accounting and advisory firm in Connecticut.

Tracy Vrchota is the vice president of compliance at Accurate Background.

With the broker behind bars since last year, the firm has paid nearly $2 million in client restitution and a regulatory fine over its mishandling of the account.

Bringing on board next-gen advisors should go hand-in-hand with a strategy of investing in younger clients.

Ken Van Leeuwen founded Van Leeuwen & Company in 1997. As the firm's managing director, founder and financial advisor, he is responsible for the overall strategic direction of the firm as well as serving his clients, who include corporate executives, nonprofit organizations and foreign citizens who have made the U.S. their home.