Patrick Donachie

Flagstaff, Ariz.–based John Lopez promised clients his 'algorithm' guaranteed 10% returns; he faces 20 years in prison for allegedly deceiving clients of his non-registered business, Personal Money Management Company.

Advisors and financial services execs discuss leadership through crisis and the importance of mental health in this profession during the 2022 MarketCounsel Summit.

As more advisors move to RIA affiliations, the firms are beginning to replicate their broker/dealer counterparts in terms of legal restrictions on advisors, according to Hamburger Law Chief Litigation Officer Sharron...

At the MarketCounsel Summit, executives with Advisor Growth Strategies questioned the certainty that rising interest rates will result in a cratering of M&A activity.

CEO Ken Bentsen’s comments came during the organization’s 'state of the industry' presentation, with FTX’s recent collapse underscoring the need for stronger supervision of the space.

The regulatory agency released an update Wednesday on its targeted sweep of firms’ supervision of options recommendations, launched in August 2021, offering more pointed questions for registrants.

James Couture pleaded to charges of wire fraud, aggravated identity theft and witness tampering in September.

The proposed rule would make remote examinations of the residential offices a permanent part of FINRA's process, but PIABA President Hugh Berkson warns it would allow reps to skirt oversight.