Advisor's Widow to Pay $3.8M Over Husband's Alleged Ponzi Scheme
By Dinah Wisenberg BrinThe deal is tied to the SEC's pursuit of Stephen Romney Swensen's estate in an alleged $29 million securities scam.
August 19, 2025
How to Keep Up Client Momentum, Even in Quiet SeasonsWhat matters most is planning ahead for any time away and equipping your team to keep growth chugging along.
August 19, 2025
4 Issues Hurting Mobile Comms ComplianceJust 25% of firms capture all mobile messages, while the majority rely on workarounds — bleeding budgets and missing risks.
August 19, 2025
Suze Orman: Time to 'Be Conservative' With Your Retirement PortfolioTaking 4% withdrawals in early retirement could be a mistake now due to the risk of high inflation, Orman tells ThinkAdvisor.
August 18, 2025
JPMorgan Must Face Claims Over Son’s Fleecing of Elderly MomFirms are facing more scrutiny over their responsibility for losses of aging clients with possible cognitive limitations.
August 18, 2025
Tax Court Rules Against Micro-Captive Case Involving Life and Annuity AssetsThe judge put off deciding whether to apply a 40% penalty related to economic substance questions.
August 18, 2025
JPMorgan Chase Bank Sued Over CD Rollover Rate ChangeA high-interest "relationship" certificate of deposit rolls over to a low rate without warning, a customer complains.
August 18, 2025
New AI Tool Can Open Accounts in Under 20 Minutes: CambridgeThe digital associate, in the early rollout stages, will work with — and not replace — staff, the firm says.