James Millegan faces as much as five years in prison after a jury found him guilty of evading $2.5 million in income taxes, according to the Department of Justice.
An aggressive regulatory push by the SEC is behind the 'major shift' in resources, according to Hearsay Compliance Principal Bill Simpson.
The marketing technology firm first announced the service at the 2021 AdviceTech.LIVE virtual conference.
The record amount of civil penalties was driven in part by the fines against some large Wall Street firms for failing to preserve text message communications on personal devices.
Schwab Advisor Services' Jalina Kerr discusses how RIAs must be intentional about how they drive meaningful organic growth.
