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The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.

Jamie Dimon just received almost $56 million of JPMorgan Chase’s stock, before taxes, from an incentive program the bank valued at less than half that much just three years ago.

A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.

Along with PlannerDAO and a new certification, Adam Blumberg and Steven Larsen are hoping to formalize how the industry learns about cryptocurrencies.

The guidance touches on the controversial policy debate about conflict-of-interest rules and what it means for brokers to act in the interest of their clients.

In conversation with Patti Cook, CEO of Finance of America Companies

The bill would raise the required age to begin withdrawing money from retirement accounts to 75 from 72.

The Swiss lender is looking to boost shareholder returns

Robert Sandrew considers himself a people person, which aids his ability to bring new talent to his firm. But finding the right fit is an ongoing process that evolves as quickly as the industry itself.

Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.

Ending tax-free wealth transfers through the longstanding step-up in basis loophole is among the proposals.

Will its portfolio managers be comfortable working with ETFs and their transparency and capacity issues?

Large financial institutions are investing in technology to tap into the growing workplace wealth market.

Meme stocks changed what we thought was possible in the investing space. And now with GameStop getting into the NFT space almost 14 months after the bid to take down hedge funds that had bet against the company, they almost seem like a parody of what already seemed like a parody of investing.

The unregistered financial advisor’s crimes became only the latest example of how securities cases can spill over into substance abuse and violence.

General Counsel Leo Rydzewski said more help is on the way as the organization bolsters its repository of tips and how tos.

The role of Switzerland as a place for Russia’s wealthy to stash their money is coming under increased examination.

Valuations are growing, but not as quickly. Brand is key. Size matters.

A widow alleged that an imprisoned ex-financial advisor’s enterprise pursued “a malicious campaign” against her after she fell victim to his scheme.