Patrick Donachie

Julie Cane is managing partner and CEO at Democracy Investments.

Anne Rhodes is the chief legal officer at Wealth.com.

Inspire Advisors has joined a lawsuit arguing the major retailer’s Pride Campaign resulted in consumer backlash that negatively impacted its stock price.

Mariner Wealth Advisors' claims follow Edelman Financial Engines' lawsuit filed last month accusing Mariner of recruiting Edelman advisors, and helping them break non-solicitation agreements.

In a recent report, the SEC Investor Advocate suggested the commission "temporarily" stop RIAs from including mandatory arbitration clauses in contracts, arguing they could "mislead retail clients into not exercising...

Kaival Patel was found guilty of conspiracy to commit wire and health care fraud to pocket money raised from fraudulent compound medication prescriptions, according to the DOJ.

Firms ranging from Morgan Stanley and Raymond James to LPL Financial and Cetera Financial Group decried state regulators’ proposals, but non-profit law clinics representing small investors said NASAA was on the right...

A final rule meant to “standardize” climate-related disclosures for issuers could also come in the spring, according to the White House Office of Management and Budget.