Peter Quartararo convinced investors that he could purchase shares of companies like Peloton or AirBnb before their initial public offerings, according to prosecutors and the SEC.

Melissa Hodgman, who was previously serving as acting director of the enforcement unit, will return to that role.

“I don’t want to hear about your surface cleaning procedures, because that is a waste of time and money,” said Linsey Marr, a professor of civil and environmental engineering at Virginia Tech.

Find out where things are going well and where they can be improved.

While many courts and private arbitration forums have already opened, FINRA continues to postpone in-person arbitration, keeping investors from recovering their losses, PIABA argues in a recent letter.

Advisors will have to take the good with the bad when it comes to using client testimonials—but they can be strategic.

Many advisors who feel the status quo no longer serves them—but ultimately want independence—are opting to make an interim move rather than wait.