Patrick Donachie

Through the DOL and the SEC, the new administration has an opportunity to change the regulatory direction for sustainable investing, according to a recent Morningstar report.

In addition to the new accreditation, the college also released survey results indicating financial professionals saw a benefit to behavioral finance training in improving their practice.

Verus Capital Partners currently includes 30 financial advisors and is hoping to expand its reach throughout the country with the help of the independent broker/dealer.

James T. Booth pleaded guilty to securities fraud last year for defrauding clients of nearly $5 million in investments, according to the Department of Justice.

A handful of cases from brokers argue COVID-19–mandated virtual hearings in disciplinary and arbitration cases violate their rights to a fair defense.

The testimony before the Senate Committee on Banking, Housing and Urban Affairs is likely to be Clayton's final appearance in Congress before leaving his role as SEC chair by year-end.

The Labor Department's potential fiduciary exemption faces review by an incoming Biden administration if it is not published in its final form 60 days before the inauguration.

John Gallagher and Mark Levin will be aligning with Gladstone Wealth Partners to establish Maverick Partners Wealth Management, which will be based out of Marlton, N.J.