Patrick Donachie

Schweiss, who spent 12 years at TD Ameritrade before leaving in 2020, will join Sierra on Oct. 1.

According to the commission, Robert J. Mueller used investors' funds for numerous personal expenses and also used clients' funds to pay previous investors.

Hightower's 'strategic investment' in Investment Security Group comes at a time when the firm is 'poised for expansion' throughout Colorado, the West and the rest of the country, according to Hightower CEO Bob Oros.

Tracy Applewhite and Sean Tyll will join Linsco by LPL Financial from Wells Fargo Advisors.

In a statement before the Senate Finance Committee, XYPN co-founders Michael Kitces and Alan Moore said a provision in the Retirement Security and Savings Act would unfairly benefit record-keepers and could result in...

Connecticut is now the 16th state to pass legislation based on the National Association for Insurance Commissioners' model rule, which intended to align state annuity rules with Reg BI.

The SEC argued that ISC, with more than $1 billion AUM, also failed to self-report during the SEC's Share Class Selection Disclosure Initiative even though it was eligible to do so.

Marcus Boggs pleaded guilty earlier this year for swindling clients, including one man who had received a large civil settlement from a wrongful murder conviction. Boggs was sentenced to more than three years in prison.