You’ve got to dial-it-up whenever you’re engaged in any form of digital communication.

Financial firms have largely failed to implement policies and procedures around video sessions and other conferencing technologies.

Steven Pagartanis was sentenced to more than 14 years in prison for his role in the scheme, according to the Justice Department. FINRA had previously barred the Long Island–based advisor from the industry.

Starting a new firm? What to expect—and how to survive the experience.