Patrick Donachie

The firm made seven RIA acquisitions in the last month of 2020 with a total of almost $3.9 billion in assets under management and more than 3,200 new clients.

A new report from the Institute for the Fiduciary Standard urges the SEC to “rebrand Reg BI as a ‘New Suitability’ standard for broker/dealers” to clarify that brokers’ product recommendations are different from best...

Associated Financial Consultants & Investor Services has recruited former Investacorp CEO and CCO Patrick Farrell and Marcus Arneaud, respectively, as financial advisors, after their b/d was folded into Securities...

The scrutiny stems from registered reps who obtained PPP loans through undisclosed outside business activities, but a letter to one such rep is not part of a targeted examination or ‘sweep,’ FINRA says.

CI's deal to acquire Segall Bryant & Hamill, a Chicago-based investment and wealth manager, would be its largest yet.

Gary Wayne Hammond allegedly failed to inform his firm of transactions totaling more than $1.6 million, including significant investments in his half-brother's companies, which FINRA claims were Ponzi schemes.

Mercer's purchase of Hart Capital Management represents the sixth deal the large RIA has announced this month.

The pardon of David Tamman was one of more than 140 pardons and commutations the outgoing president announced shortly before the end of his tenure and Joe Biden's inauguration.