Patrick Donachie

Atlanta-based Christopher Burns went missing in September 2020 while being investigated by the SEC for allegedly defrauding dozens of clients, and he remains on the run.

A Mississippi woman claimed Morgan Stanley erred when accepting her removal as a beneficiary to her dementia-stricken, de facto mother's estate—as well as ignoring her challenges as they distributed the deceased woman...

Exodus continues at SVB's private wealth division, with advisors most recently jumping to RIAs F.L.Putnam Investment Management, Cynosure Management and Cerity, according to SEC records.

The Todd Halbrook and Adam MacDonald Management Group in Newport Beach, Calif., is departing First Republic a little more than a month after some regional banks collapsed.

The investigations by state regulators looked into Robinhood's compliance shortfalls and more, spanning years, according to a Texas consent order and the North American Securities Administrators Association.

James Millegan didn’t pay more than $2.5 million in taxes and instead used the money for personal expenses, including a classic Rolls-Royce.

Charles Schwab ranked highest for investors in J.D. Power's 21st annual Satisfaction Study, with UBS and Fidelity following close behind.

Financial Design Group is joining LPL from Securian Financial Services, and comes after teams with $1.45 billion collective assets joined the firm’s Strategic Wealth Services division this month.